Cwm, LLC

Investment Advisor
in San Rafael, CA

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About this Advisor

John Harty is a financial advisor based out of San Rafael, California, who has been in the advisory business for 10 years. Harty is an employee of Cwm, LLC. During their career, the advisor has held roles at Nexbank Securities, Forward Management, Cambridge Investment Research, Inc, Cambridge Investment Research Advisors, Inc, Lpl Financial LLC, Sterling Bank & Trust, Cwm, LLC Dba Carson Group Partners, Marin Economic Forum and Cetera Advisor Networks. Harty has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to serve investors in California. Cwm, LLC is a financial advisory firm that has its headquarters in San Rafael, California. The company has offices in 123 locations and a total of 424 employees. It has $12 billion in total assets between its 58,973 accounts, placing it among the biggest firms in the country by assets under management. Of its 58,973 customer accounts, 15% belong to high-net-worth investors who have at least $1 million in assets available to invest. The company provides a number of services, such as financial planning services, portfolio management for individuals and small businesses, selection of other advisers and other services. Fees charged by financial advisors largely vary depending on which services the firm provides the client. However, fees charged by Cwm, LLC most likely consist of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others



Office Location

2370 Kerner Blvd. Suite 350
San Rafael, CA 94901

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Cwm, LLC Brokerage Details

Total Assets Under Management


CA Average: $1,978,216,465
Total Number of Employees


CA Average: 226
Total Number of Accounts


CA Average: 7,467
Average Account Size


CA Average: $264,928

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Other

John Harty Work History

John has 10 years of experience.

2019 - Present (3 years)

Cwm, LLC Dba Carson Group Partners

2019 - Present (3 years)

Cetera Advisor Networks

2017 - Present (5 years)

Marin Economic Forum

2015 - 2019 (4 years)

Lpl Financial LLC

2015 - 2019 (4 years)

Sterling Bank & Trust

2014 - 2015 (1 year)

Cambridge Investment Research, Inc

2014 - 2015 (1 year)

Cambridge Investment Research Advisors, Inc

2012 - 2014 (2 years)

Forward Management

2010 - 2012 (2 years)

Nexbank Securities


John Harty has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Cwm, LLC

Ryan Ovenden
Sioux Falls, SD
Kristen Rainone
Kissimmee, FL
Iker Pimienta
Spring, TX
Morgan Snow
Centerville, UT
Christopher Schuler
Green Bay, WI
Jaclyn Hissick
Milldale, CT
Tyler Roach
Omaha, NE
Patrick Healy
Norwell, MA

The content in this profile was updated by SmartAsset on 08/06/2020 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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