JP
James R. Peters
PALOGIC VALUE MANAGEMENT, L.P.
DALLAS, TX 75225
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CRD#: 3135650
JP
Professional summary
James Robert Peters, who also goes by James Peters, is a registered financial advisor currently at PALOGIC VALUE MANAGEMENT, L.P. located in Dallas, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Peters
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) BLUE CROSS BLUE SHIELD OF TEXAS; INSURANCE AGENT; NOT INVESTMENT-RELATED; START DATE 1/1/2000. 1 HOURS PER WEEK.
2) JAMES R PETERS CPA; OWNER; CPA; START DATE 08/01/1987; 6 HOURS PER WEEK, NONE OF WHICH ARE DURING SECURITIES TRADING HOURS;
3) RJ9 HOLDINGS, LLC; FAMILY INVESTMENT PARTNERSHIP; MEMBER; START DATE 07/2014; 1 HOUR DEVOTED TO THIS BUSINESS PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Peters'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®
NoneExperience
Current
May 3, 2022 - Present
PALOGIC VALUE MANAGEMENT, L.P.
Office #1: 8333 Douglas Avenue Suite 775, Dallas, TX 75225RIA
CRD#: 155133
DALLAS, TX
Past
September 22, 2014 - June 2, 2022
PETERS WEALTH MANAGEMENT, LLC
RIA
CRD#: 172203
CARROLLTON, TX
Past
July 2, 2012 - September 19, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CARROLLTON, TX
Past
April 8, 2005 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
CARROLLTON, TX
Past
April 8, 2005 - September 18, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CARROLLTON, TX
Past
October 28, 1998 - April 19, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
KATY, TX
Past
October 28, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 28, 1998 - April 19, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
PV
PALOGIC VALUE MANAGEMENT, L.P.
PALOGIC VALUE MANAGEMENT, L.P.
CRD#: 155133 / SEC#: 801-120951
RIA
Registered Investment Advisory firm - (4/26/2021 Approved)Texas
Registered Investment Advisory firm - (4/16/2014 Terminated)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
Texas(5/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
PV
PALOGIC VALUE MANAGEMENT, L.P.
PALOGIC VALUE MANAGEMENT, L.P.
CRD#: 155133 / SEC#: 801-120951
RIA
Registered Investment Advisory firm - (4/26/2021 Approved)Texas
Registered Investment Advisory firm - (4/16/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8333 Douglas Avenue Suite 775, Dallas, TX 75225
Mailing Address
Phone number
(214) 871-2700
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 338,520,081 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/26/2021 |
| Texas | ERA - Withdrawn | 3/26/2021 |
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.
Company Information
PALOGIC VALUE MANAGEMENT, L.P.
CRD#: 155133Dallas, TX 75225TRUST BUT VERIFY
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