Robert H. Pothier
Professional summary
Robert Harvey Pothier, who also goes by Bob Pothier, Robert H Pothier, Robert Pothier, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Santa Monica, California.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Harvey Pothier's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2025 - Present
VANGUARD ADVISERS, INC.
February 19, 2008 - April 24, 2009
JOHN HANCOCK DISTRIBUTORS LLC
July 10, 2001 - January 30, 2008
PACIFIC SELECT DISTRIBUTORS, LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/11/2025)
(12/11/2025)
(12/11/2025)
Exams
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
