James A. Burton

NORTHWEST ASSET MANAGEMENT

Santa Rosa, CA 95401

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CRD#: 2201399

Professional summary

James Andrew Burton, CFP®, who also goes by Andrew Burton, J An Burton, J Andrew Burton, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Santa Rosa, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Burton | J An Burton | J Andrew Burton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Burton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

January 2, 2013 - Present

NORTHWEST ASSET MANAGEMENT

Office #1: 131-a Stony Circle Suite 500, Santa Rosa, CA 95401

RIA

CRD#: 147923

Santa Rosa, CA

Past

February 22, 2013 - September 30, 2014

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SANTA ROSA, CA

Past

June 1, 2009 - January 16, 2013

MORGAN STANLEY

RIA

CRD#: 149777

SANTA ROSA, CA

Past

June 1, 2009 - January 16, 2013

MORGAN STANLEY

CRD#: 149777

SANTA ROSA, CA

Past

September 19, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SANTA ROSA, CA

Past

September 19, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SANTA ROSA, CA

Past

July 30, 1999 - September 19, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SANTA ROSA, CA

Past

March 22, 1999 - September 19, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SANTA ROSA, CA

Past

January 24, 1992 - April 5, 1999

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/2/2013)

IAR

Idaho
(10/26/2020)

IAR

Texas
(1/2/2013)

IAR

Washington
(1/2/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 2/5/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/22/1992

General Securities Representative Examination

Current Firm

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

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Contact information

Main Address

2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040

Mailing Address

Phone number

(206) 838-3680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (147923) (3/31/2025)

ADV PART 2 NWASSET WRAP (147923) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	8,844
AUM (Assets Under Management)	$ 3,608,262,509

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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James A. Burton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Burton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PIPER SANDLER & CO.

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/1996

Series 63

Date: 1/29/1992

Series 31

Date: 2/5/2005

Series 7

Date: 1/22/1992

Current Firm

NORTHWEST ASSET MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST ASSET MANAGEMENT

TRUST BUT VERIFY

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