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CFA

James Allen

Robert W. Baird & CO. Incorporated
44 Years of Experience
Louisville, KY
1 DisclosureBroker
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James Allen is a CFA-designated registered investment advisor at Robert W. Baird & CO. Incorporated, based in Louisville, KY, with 44 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 241,359 clients with $390B in assets under management.

Robert W. Baird & CO. Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2620 advisors
Number of Clients
241,359 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$394.1B

Fee Structure

Investment management only (planning not offered)

Robert W. Baird & Co. charges an ongoing annual fee for portfolio management, which is bundled with trade execution and custody services as part of a wrap fee program. The specific fee amount depends on the chosen program, strategy, and the size of your portfolio, and is generally calculated as a percentage of the assets they manage for you. Additional costs may apply if managers execute trades away from Baird or if you utilize specialized overlay services.

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Location

500 West Jefferson St., Louisville, KY, 40202

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History

Regulatory History (1)
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Regulatory
January 1999
Final
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Other Business Activities

James is a board member for Bellarmine University, The Filson Historical Society, Sea Island Beach Club Residences Property Owners Assoc, and Speed Art Museum. He dedicates minimal time to each role, overseeing endowment assets and participating in investment committees.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
October 2019 - Present · 7 yrs
Robert W. Baird & CO. IncorporatedBroker
October 2019 - Present · 7 yrs
Previous Registrations
J.J.B. Hilliard, W.L. Lyons, LLC
June 2003 - October 2019 · 16 yrs 4 mos
J.J.B. Hilliard, W.L. Lyons, LLCBroker
October 1981 - October 2019 · 38 yrs
State Registrations3 states
ALKYOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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