JQ
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
61 advisors
Number of Clients
1,628 clients
Average Client Portfolio
$385K average
Assets Under Management
$626.5M
Fee Structure
Minimum Investment:None
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $1.0M | 2.00% |
| $1.0M - $10.0M | 1.50% |
| $10M+ | 1.00% |
Fees and asset levels are negotiable based upon certain criteria.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
HAI charges an annual investment advisory fee based on assets under management, using a blended fee schedule. The maximum annual fee ranges from 1.00% to 2.00%. Fees and asset levels are negotiable based on various criteria. Fees are billed quarterly in advance. For ERISA plan services, fees shall not exceed 2%. There is no minimum account size.
Areas of Practice
Investment ManagementRetirement Planning
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Advisor Information
Office location
7800 Forsyth Blvd., 5th Floor, St. Louis, MO, 63105
Get directionsRegulatory History (1)
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.
Customer Dispute
July 1999Award / Judgment
Other Business Activities
James is a 50% owner and partner in AGRock Company, a bar and restaurant business. He spends about half his time on this non-investment related activity.
Employment History
Current Registrations
Huntleigh Advisors, INC.
November 2012 - Present · 13 yrs 2 mos
Huntleigh Securities CorporationBroker
November 2012 - Present · 13 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2008 - December 2012 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
December 2008 - December 2012 · 4 yrs
Stifel, Nicolaus & Company, Incorporated
June 2001 - December 2008 · 7 yrs 6 mos
Stifel, Nicolaus & Company, Incorporated Broker
May 2001 - December 2008 · 7 yrs 7 mos
UBS Painewebber INC. Broker
June 1993 - May 2001 · 7 yrs 11 mos
Prudential Securities IncorporatedBroker
June 1990 - June 1993 · 3 yrs
Shearson Lehman Hutton INC.Broker
April 1988 - July 1990 · 2 yrs 3 mos
E. F. Hutton & Company INCBroker
September 1987 - April 1988 · 7 mos
State Registrations4 states
CACOILMO
AdvisorBrokerBoth
Exams
No exam information available for this advisor.