PW
Peter C. Wernau
WERNAU ASSET MANAGEMENT
Gloucester, MA 01930
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CRD#: 4741275
PW
Professional summary
Peter Christopher Wernau is a registered financial advisor currently at WERNAU ASSET MANAGEMENT located in Gloucester, Massachusetts.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Peter has worked at 1 firm and has passed the Series 65 exam.
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.
APRICOT CAPITAL LLC INVESTMENT RELATED: YES 30 Western Ave Suite 206 Gloucester, MA 01930 PURPOSE: INVESTMENT IN PRIVATE STARTUPS TITLE: CO-FOUNDER/OWNER START DATE: 6/1/2010 HOURS PER MONTH: 5 # OF HOURS DURING TRADING DAY: 0 DUTIES: EVALUATE INVESTMENT OPPORTUNITIES Fish City Capital LLC INVESTMENT RELATED: YES 30 Western Ave Suite 206 Gloucester, MA 01930 PURPOSE: INVESTMENT IN PRIVATE STARTUPS TITLE: CO-FOUNDER/OWNER START DATE: 6/4/2014 HOURS PER MONTH: 5 # OF HOURS DURING TRADING DAY: 0 DUTIES: EVALUATE INVESTMENT OPPORTUNITIES
CRS (Client Relationship Summary) - RIA
Click below to view Peter Christopher Wernau'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
March 12, 2004 - Present
WERNAU ASSET MANAGEMENT
Office #1: 30 Western Ave Suite 206, Gloucester, MA 01930RIA
CRD#: 129473
Gloucester, MA
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
WERNAU ASSET MANAGEMENT
WERNAU ASSET MANAGEMENT | WERNAU ASSET MANAGEMENT INC.
CRD#: 129473 / SEC#: 801-118713
RIA
Registered Investment Advisory firm - (5/14/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/1/2020 Terminated)New York
Registered Investment Advisory firm - (6/1/2020 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
Massachusetts(3/12/2004)
Current Firm
WA
WERNAU ASSET MANAGEMENT
WERNAU ASSET MANAGEMENT | WERNAU ASSET MANAGEMENT INC.
CRD#: 129473 / SEC#: 801-118713
RIA
Registered Investment Advisory firm - (5/14/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/1/2020 Terminated)New York
Registered Investment Advisory firm - (6/1/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30 Western Ave Suite 206, Gloucester, MA 01930
Mailing Address
Phone number
(617) 871-0029
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 224 |
| AUM (Assets Under Management) | $ 191,270,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/06/2025 | ||
| 08/26/2024 | ||
| 07/03/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
