JA
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
14 advisors
Number of Clients
4,347 clients
Average Client Portfolio
$309K average
Assets Under Management
$1.3B
Fee Structure
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $50K | 1.50% |
| $50K - $100K | 1.40% |
| $100K - $250K | 1.30% |
| $250K - $500K | 1.25% |
| $500K - $1000K | 1.20% |
| $1.0M - $2.0M | 1.15% |
| $2.0M - $3.0M | 1.13% |
| $3.0M - $4.0M | 1.11% |
| $4.0M - $5.0M | 1.09% |
| $5.0M - $7.5M | 1.05% |
| $7.5M+ | 1.00% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Financial Plan Fee:Up to $3,000
Asset management fees are based on a percentage of your account value, as shown in the table. For accounts held directly with a product sponsor, a flat fee of 0.75% is charged. Financial planning fees are negotiable, with a maximum fixed fee of $3,000. 401(k) advisory fees are also negotiable and can be based on plan assets, a percentage, or a fixed fee, not to exceed $15,000 annually. You will also pay transaction fees, custodial fees, and fund management fees.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningTax PlanningHigh Net Worth
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Advisor Information
Office location
425 Packerland Dr., Suite C, Green Bay, WI, 54303
Get directionsRegulatory 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
December 2014Denied
Customer Dispute
February 2004Denied
Other Business Activities
James operates under his own name for non-investment related business at his branch location. He is also the owner and a CPA at Alberts CPA and Associates LLC and an IAR under New Advisory Services RIA.
Employment History
Current Registrations
Geneos Wealth Management, INC. Broker
June 2022 - Present · 3 yrs 7 mos
N.E.W. Advisory Services, LLC
June 2022 - Present · 3 yrs 7 mos
Previous Registrations
Woodbury Financial Services, INC.
July 2017 - June 2022 · 4 yrs 11 mos
Woodbury Financial Services, INC.Broker
September 2004 - June 2022 · 17 yrs 9 mos
Sunamerica Securities, INC.Broker
October 2001 - September 2004 · 2 yrs 11 mos
Sunamerica Securities, INC.Broker
October 1999 - October 2001 · 2 yrs
Sii Investments, INC.Broker
December 1996 - October 1999 · 2 yrs 10 mos
Wma Securities, INC.Broker
October 1996 - December 1996 · 2 mos
State Registrations9 states
AZFLIDMIMNNVSDWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.