PM
Paul K. Mutch
WINDROSE ADVISORS LLC
Waltham, MA 02453
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CRD#: 2822345
PM
Professional summary
Paul Kenneth Mutch, ChFC®, CLU® is a registered financial advisor currently at WINDROSE ADVISORS LLC located in Waltham, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Paul has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.) NAME OF OBA: USS CONSTITUTION MUSEUM; ADDRESS OF OBA: CHARLESTOWN NAVY YARD, BUILDING 22, CHARLESTOWN, MA 02129; NATURE: MUSEUM; INVESTMENT-RELATED: NO; RELATIONSHIP WITH OBA: TRUSTEE; DUTIES: BOARD MEMBER; START DATE: 2016; APPROX. NUMBER OF HOURS/MONTH: 5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 2; (2.) NAME OF OBA: BELMONT YOUTH BASEBALL; ADDRESS OF OBA: BELMONT, MA; NATURE: BASEBALL; INVESTMENT-RELATED: NO; RELATIONSHIP WITH OBA: BOARD MEMBER; DUTIES: BOARD MEMBER AND COACH; START DATE: 2016; APPROX. NUMBER OF HOURS/MONTH: 15; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: BELMONT VETERANS MEMORIAL COMMITTEE; ADDRESS OF OBA: BELMONT, MA; NATURE: VETERAN SUPPORT; INVESTMENT-RELATED: NO; RELATIONSHIP WITH OBA: COMMITTEE MEMBER; DUTIES: VARIOUS ACTIVITIES SUPPORTING VETERANS; START DATE: 2020; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Paul Kenneth Mutch's 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®
Experience
Current
May 25, 2022 - Present
WINDROSE ADVISORS LLC
Office #1: Watermill Center 800 South Street, Suite 600, Waltham, MA 02453RIA
CRD#: 152145
Waltham, MA
Past
July 5, 2016 - April 25, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
BOSTON, MA
Past
September 26, 2007 - October 28, 2008
VC & C CAPITAL ADVISERS, LLC
RIA
CRD#: 125435
BOSTON, MA
Past
April 14, 2001 - August 3, 2007
ERNST & YOUNG INVESTMENT ADVISERS LLP
RIA
CRD#: 110921
BOSTON, MA
Past
December 7, 1999 - December 1, 2000
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
March 23, 1999 - December 6, 1999
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
December 2, 1996 - March 2, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
WA
WINDROSE ADVISORS LLC
FIREMAN CAPITAL ADVISORS | WINDROSE ADVISORS LLC | FIREMAN CAPITAL ADVISORS, LLC
CRD#: 152145 / SEC#: 801-70859
RIA
Registered Investment Advisory firm - (12/18/2009 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(5/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WA
WINDROSE ADVISORS LLC
FIREMAN CAPITAL ADVISORS | WINDROSE ADVISORS LLC | FIREMAN CAPITAL ADVISORS, LLC
CRD#: 152145 / SEC#: 801-70859
RIA
Registered Investment Advisory firm - (12/18/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Watermill Center 800 South Street, Suite 600, Waltham, MA 02453
Mailing Address
Phone number
(617) 421-1750
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 549 |
| AUM (Assets Under Management) | $ 2,487,640,162 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 12/29/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WINDROSE ADVISORS LLC
CRD#: 152145Waltham, MA 02453TRUST BUT VERIFY
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