Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
7 advisors
Number of Clients
751 clients
Average Client Portfolio
$352K average
Assets Under Management
$264.7M

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.50%
$1.0M - $3.0M1.00%
$3M+0.65%

Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Hourly Rate:$65 - $250/hr

Fees for financial planning are charged on a fixed project or hourly basis, not to exceed $250/hour. Asset Allocation and Portfolio Supervision fees are based on a percentage of assets under management (see table). Managed Non-Discretionary Assets also follow the same fee schedule as Asset Allocation and Portfolio Supervision. Retirement Plan Advisory Services also have their own fee schedule based on plan assets. Fees are negotiable and may differ from those described.

Areas of Practice
Investment ManagementRetirement PlanningHigh Net WorthBusiness Owners
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Advisor Information

Office location

160 Rail Road, Suite 2, Chesterton, IN, 46304

Get directions
Regulatory 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.
Customer Dispute
August 2007
Settled
Other Business ActivitiesSells Insurance

James works as an insurance agent since 2015. This activity requires minimal time.

Employment History
Current Registrations
Compass Financial Advisors LLC
December 2001 - Present · 24 yrs 1 mo
Previous Registrations
Securities America, INC.Broker
July 2015 - May 2016 · 10 mos
Fintegra, LLCBroker
October 2007 - July 2015 · 7 yrs 9 mos
Questar Asset Management, INC.
February 2005 - November 2005 · 9 mos
Questar Capital CorporationBroker
September 2003 - October 2007 · 4 yrs 1 mo
Mutual Service CorporationBroker
November 2001 - September 2003 · 1 yr 10 mos
Linsco/private Ledger CORP. Broker
October 2001 - October 2001 · 0 mos
AXA Advisors, LLC Broker
May 2001 - July 2001 · 2 mos
State Registrations2 states
INTX
Advisor
Exams
No exam information available for this advisor.