JM
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
18 advisors
Number of Clients
817 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$1.2B
Fee Structure
Minimum Investment:$100K
Financial Plan Fee:$1,000 - $10,000
Hourly Rate:$1,000 - $10,000/hr
Investment advisory fees are negotiable, with a maximum of 2.00% annually, though some clients may agree to a higher fee in limited circumstances. Financial planning fees range from $1,000 to $10,000 per engagement or an hourly fee. Cash management services are available for a flat rate of 0.10% per annum. A minimum initial account value of $100,000 is generally required, but may be waived.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate Planning
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Advisor Information
Office location
9878 W. Belleview Ave., #2306, Denver, CO, 80123
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.
Judgment / Lien
April 2015Other Business Activities
James provides personal CFO services for nonprofit and for-profit businesses, including financial analysis, compliance monitoring, budget preparation, and tax return data collection. He also consults with business owners and provides payroll services.
Employment History
Current Registrations
The Institute
July 2019 - Present · 6 yrs 6 mos
Previous Registrations
Institute for Wealth Advisors, INC.
March 2013 - April 2019 · 6 yrs 1 mo
Spc
January 2004 - March 2013 · 9 yrs 2 mos
Summit Financial Group INC
January 2001 - September 2003 · 2 yrs 8 mos
State Registrations1 state
FL
Advisor
Exams
No exam information available for this advisor.