James M. Dawson

BROADVIEW WEALTH PARTNERS

BOULDER, CO 80302

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CRD#: 3161514

Professional summary

James Mcdonald Dawson, CFP®, CPWA® is a registered financial advisor currently at BROADVIEW WEALTH PARTNERS located in Boulder, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 and Series 24 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 Business: Integrated Capital Management Address: 1212 Pearl, ste 200, Boulder, CO, 80302, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/11/2008 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: LLC I set up to run expenses through, as well as incidental (non-security related, no client involvement) revenue (2)Name of Business: University of Colorado Address: Folsom Field, Boulder CO, Boulder, CO, 80302, United States Activity Type: Part-Time Activity/Employment Position/Title: Independent Contractor Investment Related: No Start Date: 11/13/2010 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I would be paid on a 1099, but the amount is below the reportable threshold

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Mcdonald Dawson'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

Start date: 2002

CPWA^®

Certified Private Wealth Advisor

Start date: 2010-04-13

Expire date: 2024-03-31

Experience

Current

August 4, 2025 - Present

BROADVIEW WEALTH PARTNERS

Office #1: 1212 Pearl Street, Suite 200, Boulder, CO 80302

RIA

CRD#: 335028

BOULDER, CO

Past

January 2, 2009 - October 2, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOULDER, CO

Past

March 9, 2002 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

BOULDER, CO

Past

February 4, 2002 - October 2, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOULDER, CO

Past

January 26, 1999 - February 15, 2002

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

December 24, 1998 - January 26, 1999

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

BROADVIEW WEALTH PARTNERS

BROADVIEW WEALTH PARTNERS | BROADVIEW WEALTH PARTNERS, LLC

CRD#: 335028 / SEC#: 801-134094

RIA

Registered Investment Advisory firm - (8/1/2025 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

Colorado
(8/4/2025)

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 66

Date: 4/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/10/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2002

General Securities Principal Examination

Current Firm

BROADVIEW WEALTH PARTNERS

BROADVIEW WEALTH PARTNERS | BROADVIEW WEALTH PARTNERS, LLC

CRD#: 335028 / SEC#: 801-134094

RIA

Registered Investment Advisory firm - (8/1/2025 Approved)

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Contact information

Main Address

1212 Pearl Street, Suite 200, Boulder, CO 80302

Mailing Address

Phone number

(303) 323-4293

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (11/12/2025)

Regulatory assets under management

Total Number of Accounts	1,489
AUM (Assets Under Management)	$ 309,141,416

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 M. Dawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Mcdonald Dawson's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WADDELL & REED

PFS INVESTMENTS INC.

Primary Firm SEC Registration

BROADVIEW WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/28/1999

Series 6

Date: 12/21/1998

Series 51

Date: 6/10/2003

Series 24

Date: 2/22/2002

Current Firm

BROADVIEW WEALTH PARTNERS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW WEALTH PARTNERS

TRUST BUT VERIFY

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