David James
David James is a registered investment advisor at Lone Peak Advisers, based in Draper, UT, with 41 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 905 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Lone Peak Advisers charges an annual fee for managing your investments. This fee covers investment advice, communication, and back-office support. The total fee, including any fees paid to outside asset managers, will not exceed 2.9% per year. The exact percentage will be based on the types of investments and the amount of involvement required. Friends, family, and certain charities may receive a discounted rate. You may also be charged additional fees by the company that holds your investments.
Location
11650 South State Street, Suite 200, Draper, UT, 84020-7150
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
October 2003Employment Separation After Allegations
November 2001Employment Separation After Allegations
June 1996Other Business ActivitiesSells Insurance
David is a mortgage loan originator, a member/manager of David WM. James LLC (for tax purposes and ownership of other LLCs), registered agent for Traditional Broker Insurance Agency, an insurance agent, and manager/COO of Lone Peak Advisers, LLC. He dedicates minimal time to mortgage origination and the insurance agency, and about full-time to Lone Peak Advisers.
Employment History
Current Registrations
Lone Peak Advisers
Transitional Broker LLCBroker
Previous Registrations
Lone Peak Advisers
Lone Peak Capital Management, LLC
H. Beck, INC.Broker
Legacy Planning Group
Gunnallen Financial, INCBroker
Investment Management Corporation
Investment Management CorporationBroker
Eagle Gate Securities,inc.
Eagle Gate Securities, INC.Broker
UBS Painewebber INC.Broker
Piper Jaffray INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations24 states
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.