J.P. MORGAN PRIVATE WEALTH ADVISORS LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 108559). Regulatory assets under management: $86.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 56 people.
| Name | Role | Location |
|---|---|---|
| Sullivan Michael | MANAGER | New York, NY |
| Nicolas Robin Gentin | MANAGER | — |
| Andrew C Burge | MANAGER | — |
| William Philip Sieg | MANAGER AND PRESIDENT | — |
| Craig Michael Sullivan | MANAGER | — |
| Hanim Basak Koralturk | MANAGER | — |
| Kelly Devlin | CHIEF COMPLIANCE OFFICER | — |
| BULL JON SHELDON | DIRECTOR | — |
| SULLIVAN TODD DAVID | DIRECTOR | — |
| HERBERT JAMES H | DIRECTOR | — |
| AUGUST-DEWILDE KATHERINE | DIRECTOR | — |
| BRANCAZIO CHRISTOPHER JOHN | CCO | — |
| MOORE CHARLES VOLKHARDT | CHAIRMAN; PRESIDENT & DIRECTOR | — |
| ARNOLD ARTHUR ALEXANDER | EXEC. V.P.,TREASURER & DIRECTOR; TREASURER; TREASURER & DIRECTOR | — |
| COMO DAVID PAUL | EXEC. V.P.,DIRECTOR; EXEC. V.P.,TREASURER & DIRECTOR | — |
| GHRISKEY HENRY WILLIAMSON | DIRECTOR; EXEC. V.P. & DIRECTOR; EXEC. V.P., SECRETARY, & DIRECTOR | — |
| CONN JAMES PATRICK | DIRECTOR | — |
| WALTHER ROGER O | DIRECTOR | — |
| KNOX JOHN DIXON | CHAIRMAN OF THE BOARD AND DIRECTOR; DIRECTOR; PRESIDENT/CEO/DIRECTOR | — |
| GOLDEN ANNE BLOHM | DIRECTOR | — |
| POLLOCK CRAIG DOUGLAS | COO | — |
| BLOOM JAMES ROBERT | CIO | — |
| KNIGHT DONNA JEAN | CHIEF COMPLIANCE OFFICER01/2007 | — |
| THORNTON ROBERT LEE | DIRECTOR AND PRESIDENT; PRESIDENT | — |
| TATEOSIAN DAVID CHARLES | DIRECTOR; MANAGER | — |
Showing 10 of 13 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-06-10 | regulatory | ON JUNE 10, 2024, J.P. MORGAN PRIVATE WEALTH ADVISORS LLC ("JPMPWA") ENTERED INTO A SETTLEMENT WITH THE PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES ("DEPARTMENT") RESULTING IN THE DEPARTMENT ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER") AGAINST JPMPWA. WITHOUT ADMITTING OR DENYING THE DEPARTME… | Final | $20K |
| 2023-07-07 | regulatory | JPMORGAN CHASE BANK, N.A. ("JPMCB") HAS ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") RESULTING IN SEBI ISSUING AN ADMINISTRATIVE ORDER ON JULY 7, 2023 (THE "ORDER"). WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, JPMCB AGREED TO THE TE… | Final | $27K |
| 2022-05-19 | regulatory | IN DECEMBER 2018, THE SEC STAFF REQUESTED DOCUMENTS AND INFORMATION FROM FRIM INVESTIGATING AND SEEKING TO IDENTIFY CONFLICTS OF INTEREST THAT ARISE WHERE INVESTMENT ADVISERS FAILED TO ADEQUATELY MAKE REQUIRED DISCLOSURES RELATING TO THEIR SELECTION OF CERTAIN MUTUAL FUND SHARE CLASSES AND MONEY MAR… | Final | $250K |
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | criminal | — | Final | — |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2019-03-11 | regulatory | IN FEBRUARY 2018, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") ANNOUNCED AN INDUSTRY-WIDE INITIATIVE TO IDENTIFY AND REMEDY CONFLICTS OF INTEREST THAT ARISE WHERE INVESTMENT ADVISERS FAILED TO MAKE REQUIRED DISCLOSURES RELATING TO THEIR SELECTION OF CERTAIN MUTUAL FUND SHARE CLASSES THAT PAID… | Final | — |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES AND EXCHANGE A… | Final | — |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN & CHASE CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING OPERATE… | Final | $61.9M |
Showing 15 of 27 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| NEW YORK | NY | 151 | 212-459-9000 |
| SAN FRANCISCO | CA | 104 | 415-392-1400 |
| LOS ANGELES | CA | 68 | 310-712-1888 |
| BOSTON | MA | 62 | 617-737-1828 |
| BELLEVUE | WA | 21 | (425) 519-8888 |
| PALO ALTO | CA | 20 | 650-382-5800 |
| PORTLAND | OR | 18 | 858-454-0839 |
| NEWPORT BEACH | CA | 15 | (949) 756-8828 |
| JUPITER | FL | 13 | 561-529-8388 |
| NEW YORK | NY | 12 | 914 899-5999 |
| WELLESLEY | MA | 11 | (781) 239-9881 |
| PALM BEACH | FL | 10 | 561-835-8829 |
| WASHINGTON. DC | DC | 10 | 844-455-5548 |
| WALNUT CREEK | CA | 8 | (925) 952-8388 |
| SANTA BARBARA | CA | 8 | 805-560-6883 |