TJ
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
12 advisors
Number of Clients
234 clients
Average Client Portfolio
$203K average
Assets Under Management
$47.6M
Fee Structure
Financial Plan Fee:$150 - $7,500
Financial planning fees range from $150 to $7,500 per plan, depending on complexity. Consulting fees are based on the type of consulting offered (one-time, ongoing, hourly, or flat rate) and are negotiable. Annual asset-based fees range from 0.25% to 2.75% of assets managed. Management fees are exclusive of brokerage commissions, transaction fees, and other related costs. You may cancel your agreement within five days of execution and receive a full refund.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningHigh Net Worth
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Advisor Information
Office location
2030 Main Street, Suite 210, Irvine, CA, 92614
Get directionsRegulatory 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.
Judgment / Lien
June 2019Customer Dispute
May 2019Settled
Customer Dispute
June 1999Settled
Other Business Activities
Thomas is the CEO of i3 Financial, Inc., providing consulting services for companies raising capital, and also works as a real estate broker. He dedicates minimal time to real estate sales and a few hours per week to i3 Financial.
Employment History
Current Registrations
Westpark Capital, INC. Broker
July 2016 - Present · 9 yrs 6 mos
Westpark Capital, INC.
July 2016 - Present · 9 yrs 6 mos
Previous Registrations
Newport Coast Asset Management, INC.
January 2015 - April 2015 · 3 mos
Newport Coast Asset Management
June 2010 - July 2016 · 6 yrs 1 mo
Newport Coast Securities, INC.Broker
May 2008 - July 2016 · 8 yrs 2 mos
Ais Financial, INC.Broker
June 2006 - December 2008 · 2 yrs 6 mos
Integrity Brokerage Services, INC.Broker
May 2003 - June 2006 · 3 yrs 1 mo
Finance 500, INC.Broker
October 2002 - April 2003 · 6 mos
Tradeway Securities Group, INC.Broker
January 1995 - October 2002 · 7 yrs 9 mos
Thomas James Associates, INC.Broker
January 1994 - January 1995 · 1 yr
Chatfield Dean & Co., INC.Broker
April 1993 - January 1994 · 9 mos
State Registrations33 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.