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James Patton

Independent Financial Group, LLC
42 Years of Experience
Woodland Hills, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Patton is a registered investment advisor at Independent Financial Group, LLC, based in Woodland Hills, CA, 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 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
541 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

21900 Burbank Blvd., Ste. 3014, Woodland Hills, CA, 91367

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History

Regulatory History (1)
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.
Criminal
June 1982
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an officer/director of Chasepark Financial, offering securities, advisory, and insurance services full-time. He also owns 50% of Primary Wealth Partners, offering tax services, and dedicates a few hours per week to this, as well as writing a weekly digest for On The Money.

Employment History
Current Registrations
Independent Financial Group, LLC
October 2017 - Present · 9 yrs
Independent Financial Group, LLCBroker
October 2017 - Present · 9 yrs
Previous Registrations
National Planning CorporationBroker
August 2014 - October 2017 · 3 yrs 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
August 2014 - October 2017 · 3 yrs 2 mos
LPL Financial LLCBroker
July 2008 - September 2014 · 6 yrs 2 mos
LPL Financial LLC
July 2008 - September 2014 · 6 yrs 2 mos
H&r Block Financial Advisors, INC.
March 2005 - July 2008 · 3 yrs 4 mos
H&r Block Financial Advisors, INC.Broker
March 2005 - July 2008 · 3 yrs 4 mos
Wachovia Securities, LLCBroker
June 1999 - March 2005 · 5 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1996 - June 1999 · 2 yrs 7 mos
Smith Barney INC.Broker
July 1993 - October 1996 · 3 yrs 3 mos
Lehman Brothers INC.Broker
June 1990 - July 1993 · 3 yrs 1 mo
Dean Witter Reynolds INC.Broker
June 1984 - July 1990 · 6 yrs 1 mo
State Registrations10 states
AZCACOFLLAMONVTXUTWA
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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