James W. Gaul

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Boston, MA 02109

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CRD#: 2915784

Professional summary

James Walter Gaul, CFA, who also goes by James Walter Gavl, is a registered financial advisor currently at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC located in Boston, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Walter Gavl

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 Walter Gaul'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®

CFA

Chartered Financial Analyst

Experience

Current

November 5, 2019 - Present

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Office #1: One Liberty Square Suite 610, Boston, MA 02109

RIA

CRD#: 174129

Boston, MA

Past

June 9, 2006 - October 30, 2019

BOSTON ADVISORS, LLC

RIA

CRD#: 140059

BOSTON, MA

Past

March 8, 2006 - April 3, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 20, 2005 - June 9, 2006

BOSTON ADVISORS, INC.

RIA

CRD#: 110981

BOSTON, MA

Past

September 7, 2005 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 17, 2004 - July 13, 2005

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

April 24, 2000 - October 22, 2004

ADVEST, INC.

CRD#: 10

HARTFORD, CT

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".

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 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
(11/5/2019)

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: 9/19/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/2000

General Securities Representative Examination

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 Approved)

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Contact information

Main Address

One Columbus Plaza, New Haven, CT 06510

Mailing Address

Phone number

(203) 752-4502

Established

Firm type

Fiscal year end

# of Employees

226

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC ADV PART 2A BROCHURE 6.4.2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	5,592
AUM (Assets Under Management)	$ 28,035,873,347

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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Advisor Monitoring

Firm Stability Insights

James W. Gaul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Walter Gaul's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOSTON ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOSTON ADVISORS, INC.

ADVEST, INC.

TD WEALTH MANAGEMENT SERVICES INC.

ADVEST, INC.

Primary Firm SEC Registration

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2005

Series 63

Date: 6/19/2000

Series 7

Date: 4/20/2000

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

TRUST BUT VERIFY

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