JL
JL
James Lombardo is a registered investment advisor at Quint Capital Management, based in Oakland, TN, with 42 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 103 clients with $160M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
103 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$162.1M
Fee Structure
Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The standard fee is up to 2% per year, including all sub-advisory fees. Total fees will not exceed 3% of assets. Exceptions to the established fee schedule can be negotiated.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Oakland, TN
Get directionsHistory
Regulatory History (19)
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
September 2001Denied
Regulatory
August 2001Final
Customer Dispute
August 2001Settled
Customer Dispute
April 2001Settled
Customer Dispute
January 2001Settled
Customer Dispute
January 2001Settled
Regulatory
September 2000Final
Customer Dispute
August 2000Denied
Customer Dispute
September 1997Settled
Customer Dispute
May 1997Settled
Customer Dispute
May 1997Settled
Customer Dispute
March 1997Settled
Customer Dispute
March 1997Settled
Customer Dispute
February 1997Settled
Customer Dispute
January 1997Settled
Customer Dispute
January 1997Settled
Customer Dispute
January 1997Settled
Customer Dispute
January 1997Settled
Employment Separation After Allegations
March 1989Employment History
Current Registrations
Quint Capital Management
May 2019 - Present · 6 yrs 11 mos
Quint Capital Corporation
January 2019 - Present · 7 yrs 3 mos
Quint Capital CorporationBroker
January 2019 - Present · 7 yrs 3 mos
Previous Registrations
Petersen Investments, INC.
October 2013 - January 2019 · 5 yrs 3 mos
Petersen Investments, INC.Broker
March 2001 - January 2019 · 17 yrs 10 mos
Gruntal & CO., L.L.C.Broker
May 1997 - February 2001 · 3 yrs 9 mos
A. G. Edwards & Sons, INC.Broker
February 1990 - April 1997 · 7 yrs 2 mos
Jesup & Lamont, IncorporatedBroker
February 1990 - March 1990 · 1 mo
Hanifen, Imhoff Securities CORP.Broker
January 1990 - January 1990 · 0 mos
Moore & Schley, Cameron & CO.Broker
December 1989 - January 1990 · 1 mo
J. T. Moran & CO., INC.Broker
March 1989 - January 1990 · 10 mos
Mclaughlin, Piven, Vogel INC.Broker
March 1984 - April 1989 · 5 yrs 1 mo
M V Securities, INC. INC.Broker
January 1984 - March 1984 · 2 mos
State Registrations5 states
CACTFLNJNY
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.