Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
GLA primarily charges asset-based management fees, billed monthly or quarterly. Fees vary based on account type, size, and other conditions. The standard minimum account size for Private Wealth clients is $1,000,000 for Equity and Balanced accounts and $2,000,000 for Fixed Income accounts. Fees are negotiable and may vary from the general fee schedule. Contracts can be terminated with 30 days' written notice, with pro-rated refunds of unearned fees.
Areas of Practice
Advisor Information
Office location
231 S. LaSalle St., 4th Floor, Chicago, IL, 60604
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James works as a Senior Compliance Officer for Great Lakes Advisors, dedicating about a quarter of his time to compliance functions, reviewing marketing materials, regulatory filings, and internal audits. This position began in 2001 and has been reviewed to ensure it doesn't interfere with his responsibilities or appear as part of WTI's business.