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James Baroutas

B. Riley Wealth Advisors, INC.
42 Years of Experience
New York, NY
4 DisclosuresBroker
View SEC Summary
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James Baroutas is a registered investment advisor at B. Riley Wealth Advisors, INC., based in New York, NY, with 42 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 Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 10,573 clients with $4.2B in assets under management.

B. Riley Wealth Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
167 advisors
Number of Clients
10,573 clients
Average Client Portfolio
$398K average
Assets Under Management
$4.2B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.75%
$250K - $1.0M2.50%
$1M+2.00%

Maximum annual fee rates shown. Rates vary depending on whether transaction fees are bundled (wrap) or paid separately (non-wrap). Fees are negotiable.

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

Location

299 Park Avenue, 21st Floor, New York, NY, 10171

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History

Regulatory History (4)
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
July 2022
Settled
Customer Dispute
April 1998
Settled
Customer Dispute
January 1993
Settled
Employment Separation After Allegations
December 1986
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James uses "Wealth(k)are Partners" as a marketing name for his financial securities business conducted through B. Riley Wealth Management. He dedicates a full-time commitment to this activity during securities trading hours.

Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth Management
January 2015 - Present · 11 yrs 9 mos
B. Riley Wealth ManagementBroker
January 2015 - Present · 11 yrs 9 mos
Previous Registrations
B Riley Wealth Management
January 2015 - December 2022 · 7 yrs 11 mos
Dominick & Dominick LLC
June 2011 - January 2015 · 3 yrs 7 mos
Dominick & Dominick LLCBroker
May 2011 - January 2015 · 3 yrs 8 mos
Morgan Stanley Smith Barney LLC
April 2011 - May 2011 · 1 mo
Morgan Stanley Smith BarneyBroker
April 2011 - May 2011 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2006 - April 2011 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1999 - April 2011 · 11 yrs 10 mos
Warburg Dillon Read LLCBroker
June 1998 - April 1999 · 10 mos
Sbc Warburg Dillon Read INC.Broker
September 1997 - June 1998 · 9 mos
Oppenheimer & CO., INC.Broker
April 1991 - August 1997 · 6 yrs 4 mos
Prudential Securities IncorporatedBroker
February 1987 - March 1991 · 4 yrs 1 mo
Shearson Lehman Brothers INC.Broker
April 1984 - December 1986 · 2 yrs 8 mos
State Registrations24 states
AZCACOCTDCFLGAILLAMDMEMIMTNCNJNVNYOHORPASCTXUTVA
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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