James L. Kaplan

CW ADVISORS

BOSTON, MA 02199

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CRD#: 2378537

Professional summary

James Lawrence Kaplan, who also goes by Jim Lawrence Kaplan, is a registered financial advisor currently at CW ADVISORS, LLC located in Boston, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Lawrence Kaplan

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.

1. ASPERA LIMITED PARTNERSHIP; INVESTMENT-RELATED: YES; SAME ADDRESS; GENERAL PARTNER; START DATE: 1986; 3 HOURS/MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Kaplan'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®

None

Experience

Current

July 9, 2024 - Present

CW ADVISORS, LLC

Office #1: 800 Boylston Street Suite 2830, Boston, MA 02199

RIA

CRD#: 310873

BOSTON, MA

Past

November 27, 2007 - July 15, 2024

CUBIC ASSET MANAGEMENT, LLC

RIA

CRD#: 145169

BOSTON, MA

Past

April 14, 1994 - November 19, 2007

J. L. KAPLAN ASSOCIATES, LLC

RIA

CRD#: 104669

BOSTON, MA

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".

CW ADVISORS, LLC

CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC

CRD#: 310873 / SEC#: 801-119667

RIA

Registered Investment Advisory firm - (10/21/2020 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

Massachusetts
(7/9/2024)

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: 7/13/1993

Uniform Investment Adviser Law Examination

Current Firm

CW ADVISORS, LLC

CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC

CRD#: 310873 / SEC#: 801-119667

RIA

Registered Investment Advisory firm - (10/21/2020 Approved)

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Contact information

Main Address

155 Seaport Blvd 3rd Floor, Boston, MA 02210

Mailing Address

Phone number

(617) 428-7600

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CW ADVISORS WRAP FEE PROGRAM (9/9/2025)

CW ADVISORS ADV PART 2A (9/9/2025)

Regulatory assets under management

Total Number of Accounts	12,836
AUM (Assets Under Management)	$ 9,301,984,860

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
07/02/2024	Cover Page	Report
09/20/2023	Cover Page	Report

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 L. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CW ADVISORS, LLC

CUBIC ASSET MANAGEMENT, LLC

J. L. KAPLAN ASSOCIATES, LLC

Primary Firm SEC Registration

CW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1993

Current Firm

CW ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CW ADVISORS, LLC

TRUST BUT VERIFY

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