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James Walter Gaul

Knights OF Columbus Asset Advisors LLC

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About James Walter Gaul

James Walter Gaul is a registered investment advisor representative with Knights Of Columbus Asset Advisors LLC. James has been in the financial industry since 2000 and has held various positions at firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc. and Commerce Capital Markets, Inc. James is a Chartered Financial Analyst and holds Series 7 and Series 65 licenses. James specializes in providing investment advice to individuals, families, and businesses.

Firm Information

James Gaul is currently registered with Knights OF Columbus Asset Advisors LLC. Knights OF Columbus Asset Advisors LLC is an investment advisory firm located in NEW HAVEN, CT. They offer portfolio management services to individuals, investment companies, pooled investment vehicles, and businesses. The firm also provides pension consulting and selection of other advisers services. They manage a total of $27.24 billion in assets for 3,799 clients. They are registered with the SEC and have a SEC number of 801-80844.
Knights OF Columbus Asset Advisors LLC

ONE COLUMBUS PLAZA

NEW HAVEN, CT 06510

$27.24B

Assets Under Management

Not reported

Total Clients

197

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Gaul’s Registration & Firm History

MA

11/05/2019 - Present

Knights OF Columbus Asset Advisors LLC (Boston MA)

NY

03/08/2006 - 04/03/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

CT

09/07/2005 - 03/08/2006

ADVEST, INC. (HARTFORD CT)

PA

12/17/2004 - 07/13/2005

COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)

CT

04/24/2000 - 10/22/2004

ADVEST, INC. (HARTFORD CT)

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Licenses & Designations

IA

Issued 09/19/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/19/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/20/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Walter Gaul.
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