Allison Winn Kaplan
Investment Adviser Representative at Pathstone
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Allison Winn Kaplan is an investment adviser representative with Pathstone in Potomac, MD, where they have been registered since 2016. They have worked in the securities industry since 2007 and have been registered with 3 firms, including Convergent Wealth Advisors, LLC and Lydian Wealth Management Company, LLC. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in Maryland.
Office
Advisors at this office: 9
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Maryland
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- PathstoneNov 2016 – Jan 2018Potomac, MD
- PathstoneJul 2021 – Jul 2023Potomac, MD
- PathstoneJan 2018 – Jun 2021Potomac, MD
- PathstoneJul 2023 – no end date reportedPotomac, MD
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Pathstone
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Firm account minimum
- $10,000,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 191
- Offices listed on AdvisorFinder:
- 18
- Main office:
- Englewood, NJ
- SEC file number:
- 801-70776
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Pathstone
Showing 12 of 191 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Allison Winn Kaplan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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