James Diffly is a registered investment advisor at Bfc Planning, INC., based in Cumming, GA, with 40 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 3 more. Their firm serves 6,720 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
BFC Planning offers asset management services through various platforms. Fees are based on the amount of assets managed and can vary depending on the platform and the IAR. The maximum allowable fee is 2.5% annually. Fees may be charged in advance or arrears, monthly or quarterly. Clients may also incur charges from third parties, such as mutual fund expenses and IRA fees. Some platforms have minimum account sizes.
Platforms include:
- Berthel Edge
- BFC Advisory program
- American Funds Direct F-2 Share Class Program
- Institutional RIA Platform
- Variable Annuity/Variable Life Sponsors
- Envestnet’s Managed Account Solutions
- Sub-Advisory Platforms
- Held Away Accounts
Location
5830 Bond Street, Suite 300, Cumming, GA, 30040
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Regulatory 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 is the president of Trendline Trading & Investments, LLC, providing investment advice and securities business, and Trendline Trading, dealing with commodities trading. He also works as a certified baseball and softball umpire for Georgia High School, dedicating minimal time to this activity.
Employment History
Current Registrations
Bfc Planning, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
Previous Registrations
Summit Brokerage Services, INC.Broker
Summit Financial Group INC
Vsr Advisory Services
Vsr Financial Services, INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Prudential Securities IncorporatedBroker
State Registrations12 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.