DJ

David William James

Lone Peak Advisers
41 Years of Experience
View SEC Summary
View SEC Summary

Firm Information

Lone Peak Advisers
Compensation
Fee-Only (AUM)
Number of Advisors
7 advisors
Number of Clients
718 clients
Average Client Portfolio
$166K average
Assets Under Management
$119.0M

Fee Structure

Minimum Investment:None
Hourly Rate:$330/hr

LPA charges an annual fee for investment advisory services, which may include an LPA advisory fee and a TPAM/sub-advisor fee. The total asset management fee will not exceed 2.9%. Management fees are negotiable. Financial planning services are charged at $330.36 per hour (3-hour minimum) or a negotiated fixed fee. LPA may charge an annual $50 fee per account for platform and admin costs.

View Full Brochure on SEC
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement Planning

Advisor Information

Office location

11650 South State Street, Suite 200, Draper, UT, 84020-7150

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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2003
Employment Separation After Allegations
November 2001
Employment Separation After Allegations
June 1996
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is a mortgage loan originator, a member/manager of David WM. James LLC (for tax purposes and ownership of other LLCs), registered agent for Traditional Broker Insurance Agency, an insurance agent, and manager/COO of Lone Peak Advisers, LLC. He dedicates minimal time to mortgage origination and the insurance agency, and about full-time to Lone Peak Advisers.

Employment History
Current Registrations
Lone Peak Advisers
April 2023 - Present · 2 yrs 9 mos
Transitional Broker LLCBroker
May 2020 - Present · 5 yrs 8 mos
Previous Registrations
Lone Peak Advisers
September 2018 - December 2022 · 4 yrs 3 mos
Lone Peak Capital Management, LLC
January 2017 - March 2021 · 4 yrs 2 mos
H. Beck, INC.Broker
March 2008 - June 2018 · 10 yrs 3 mos
Legacy Planning Group
February 2008 - December 2018 · 10 yrs 10 mos
Gunnallen Financial, INCBroker
October 2007 - April 2008 · 6 mos
Investment Management Corporation
October 2003 - December 2007 · 4 yrs 2 mos
Investment Management CorporationBroker
October 2003 - December 2007 · 4 yrs 2 mos
Eagle Gate Securities,inc.
May 2003 - November 2003 · 6 mos
Eagle Gate Securities, INC.Broker
December 2001 - November 2003 · 1 yr 11 mos
UBS Painewebber INC. Broker
July 1996 - December 2001 · 5 yrs 5 mos
Piper Jaffray INC. Broker
October 1986 - June 1996 · 9 yrs 8 mos
Dean Witter Reynolds INC.Broker
February 1984 - October 1986 · 2 yrs 8 mos
State Registrations24 states
ALAZCACOFLIAIDINMNMONCNDNJNYOHORPATNTXUTVAWAWIWV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.