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James Bashaw

Independent Financial Group, LLC
40 Years of Experience
Houston, TX
7 DisclosuresBroker
View SEC Summary
View SEC Summary

James Bashaw is a registered investment advisor at Independent Financial Group, LLC, based in Houston, TX, with 40 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, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
538 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5701 Woodway Drive #330, Houston, TX, 77057

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History

Regulatory History (7)
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.
Regulatory
April 2019
Final
Financial
November 2017
Pending
Judgment / Lien
February 2017
Customer Dispute
September 2016
Settled
Employment Separation After Allegations
September 2014
Customer Dispute
April 2012
Settled
Customer Dispute
June 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an officer/director of James E. Bashaw & Co. and JEB & Co., both DBAs for marketing purposes, dedicating full-time hours to each. He also engages in referral services, owns a hunting camp, serves on boards, volunteers, is an author, a notary, and provides consulting, all requiring minimal time.

Employment History
Current Registrations
Independent Financial Group, LLC
April 2022 - Present · 4 yrs 6 mos
Independent Financial Group, LLCBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
International Assets Investment Management, LLC
January 2016 - April 2022 · 6 yrs 3 mos
International Assets Investment Management, LLC
April 2015 - December 2015 · 8 mos
International Assets Advisory, LLCBroker
October 2014 - April 2022 · 7 yrs 6 mos
Wunderlich Securities, INC.Broker
September 2014 - October 2014 · 1 mo
Wunderlich Securities, INC.
September 2014 - October 2014 · 1 mo
James E.bashaw & CO.
June 2005 - July 2013 · 8 yrs 1 mo
LPL Financial LLC
November 2001 - October 2014 · 12 yrs 11 mos
LPL Financial LLCBroker
November 2001 - October 2014 · 12 yrs 11 mos
UBS Painewebber INC.Broker
August 2000 - November 2001 · 1 yr 3 mos
J.C. Bradford & CO.Broker
April 1998 - August 2000 · 2 yrs 4 mos
Suntrust Equitable SecuritiesBroker
April 1994 - April 1998 · 4 yrs
Augusta Securities CORP.Broker
August 1991 - April 1994 · 2 yrs 8 mos
Thomas F. White & CO., IncorporatedBroker
January 1991 - July 1991 · 6 mos
First America Equities CORP.Broker
March 1990 - September 1991 · 1 yr 6 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1986 - June 1988 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1984 - October 1986 · 2 yrs 4 mos
State Registrations11 states
CACOGALAMDMSNMOHPATXWA
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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