JP

James Nendel Pepperman

31 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
23 advisors
Number of Clients
3,147 clients
Average Client Portfolio
$459K average
Assets Under Management
$1.4B

Fee Structure

Minimum Investment:$25K
Financial Planning:Charged separately

Fees for asset management services are negotiable, with a maximum annual fee of 2.00%. Advisory fees are charged in arrears each calendar quarter, based on the portfolio value on the last business day of the quarter. Fees for partial periods are pro-rated. The firm also charges a 0.05% annual reporting fee, billed monthly. Financial planning is available for a fee, billed as a one-time fee or monthly retainer.

Areas of Practice
Investment ManagementRetirement PlanningHigh Net Worth
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Advisor Information

Office location

37 West Ave, Suite 301, Wayne, PA, 19087

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Regulatory History (2)
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
November 2023
Pending
Customer Dispute
April 2009
Settled
Other Business ActivitiesSells Insurance

James is involved with Northstar of Chester County, a non-profit organization, dedicating a few hours per week. He also sells life insurance, spending minimal time on this activity.

Employment History
Current Registrations
J. Alden Associates, INC.
June 2020 - Present · 5 yrs 7 mos
J. Alden Associates, INC.Broker
June 2020 - Present · 5 yrs 7 mos
Alden Capital
June 2020 - Present · 5 yrs 7 mos
Previous Registrations
Mcg Securities LLCBroker
October 2014 - June 2020 · 5 yrs 8 mos
Bluestone Capital Management, LLC
October 2014 - June 2020 · 5 yrs 8 mos
Azarias Capital Partners, LLC
September 2010 - December 2010 · 3 mos
NFP Advisor Services, LLC
May 2010 - October 2014 · 4 yrs 5 mos
NFP Securities, INC.Broker
May 2010 - October 2014 · 4 yrs 5 mos
New England Securities Corporation
June 2002 - May 2010 · 7 yrs 11 mos
New England SecuritiesBroker
February 1999 - May 2010 · 11 yrs 3 mos
Ifg Network Securities, INC.Broker
August 1996 - February 1999 · 2 yrs 6 mos
New England SecuritiesBroker
July 1994 - August 1996 · 2 yrs 1 mo
State Registrations6 states
DEFLMANJPAVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.