HS
Harold M. Sawyer
WESTOVER CAPITAL ADVISORS
Wilmington, DE 19805
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CRD#: 5562480
HS
Professional summary
Harold Murray Sawyer III, who also goes by Harold M Sawyer III, Harold M Sawyer,iii, is a registered financial advisor currently at WESTOVER CAPITAL ADVISORS, LLC located in Wilmington, Delaware.
Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Harold has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harold M Sawyer Iii | Harold M Sawyer,iii
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.
Harold M. Sawyer, III10.03% share holder - Secretary and Treasurer of AIL; 4.03% shareholder - Director of RAL
Harold M. Sawyer, III is a part owner of Registered Agents, Ltd and American Incorporator, Ltd, privately-held incorporation and corporate filing companies. Clients of Westover can use their services should they wish.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Murray Sawyer III'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
July 18, 2008 - Present
WESTOVER CAPITAL ADVISORS, LLC
Office #1: 1013 Centre Rd, Suite 405, Wilmington, DE 19805RIA
CRD#: 126520
Wilmington, DE
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".
WC
WESTOVER CAPITAL ADVISORS, LLC
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520 / SEC#: 801-64380
RIA
Registered Investment Advisory firm - (6/3/2005 Approved)Delaware
Registered Investment Advisory firm - (6/30/2005 Terminated)North Carolina
Registered Investment Advisory firm - (4/11/2013 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
Connecticut(12/19/2016)
IAR
Delaware(7/18/2008)
IAR
Pennsylvania(7/18/2008)
IAR
Virginia(1/3/2022)
Exams
Current Firm
WC
WESTOVER CAPITAL ADVISORS, LLC
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520 / SEC#: 801-64380
RIA
Registered Investment Advisory firm - (6/3/2005 Approved)Delaware
Registered Investment Advisory firm - (6/30/2005 Terminated)North Carolina
Registered Investment Advisory firm - (4/11/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1013 Centre Rd, Suite 405, Wilmington, DE 19805
Mailing Address
Phone number
(302) 427-9600
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 671 |
| AUM (Assets Under Management) | $ 568,636,870 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 02/27/2024 | ||
| 03/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTOVER CAPITAL ADVISORS, LLC
CRD#: 126520Wilmington, DE 19805TRUST BUT VERIFY
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