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James Goolsby

Dai Wealth, LLC
41 Years of Experience
Atlanta, GA
1 DisclosureBroker
View SEC Summary
View SEC Summary

James Goolsby is a registered investment advisor at Dai Wealth, LLC, based in Atlanta, GA, with 41 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 1,537 clients with $330M in assets under management.

Dai Wealth, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
1,537 clients
Average Client Portfolio
$215K average
Assets Under Management
$330.0M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The total annual account fee may not exceed 2.50% of the portfolio value. Fees are negotiable based on overall assets, account size, and services provided.

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

Location

3495 Piedmont Rd, Bld 10 Ste 115, Atlanta, GA, 30305

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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.
Customer Dispute
March 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an Investment Advisor Representative at Sowell Management since November 2020, working part-time during trading hours. He is also the President and Owner of Paragon Wealth Counselors, spending about 10-20% of his time on securities-related activities.

Employment History
Current Registrations
Dai Wealth, LLC
January 2026 - Present · 9 mos
Dai Securities, LLCBroker
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Concorde Investment Services, LLCBroker
April 2022 - January 2025 · 2 yrs 9 mos
Sowell Management
November 2020 - January 2026 · 5 yrs 2 mos
Suntrust Advisory Services, INC.
January 2018 - November 2020 · 2 yrs 10 mos
Suntrust Investment Services, INC.Broker
January 2018 - November 2020 · 2 yrs 10 mos
Morgan Stanley
November 2011 - January 2018 · 6 yrs 2 mos
Morgan StanleyBroker
October 2011 - January 2018 · 6 yrs 3 mos
Morgan Keegan & Company, INC.
November 2009 - October 2011 · 1 yr 11 mos
Morgan Keegan & Company, INC.Broker
November 2009 - October 2011 · 1 yr 11 mos
Scott & Stringfellow, LLC
October 2005 - December 2009 · 4 yrs 2 mos
Scott & Stringfellow, LLCBroker
October 2005 - December 2009 · 4 yrs 2 mos
Janney Montgomery Scott LLC
April 2005 - November 2005 · 7 mos
Janney Montgomery Scott LLCBroker
March 2001 - November 2005 · 4 yrs 8 mos
Sterne, Agee & Leach, INC.Broker
September 1998 - April 2001 · 2 yrs 7 mos
Josephthal & CO., INC.Broker
October 1996 - September 1998 · 1 yr 11 mos
Interstate/johnson Lane CorporationBroker
January 1995 - October 1996 · 1 yr 9 mos
Smith Barney INC.Broker
July 1993 - January 1995 · 1 yr 6 mos
Lehman Brothers INC.Broker
June 1993 - July 1993 · 1 mo
Bear, Stearns & CO. INC.Broker
March 1992 - July 1993 · 1 yr 4 mos
Lehman Brothers INC.Broker
October 1990 - April 1992 · 1 yr 6 mos
Wheat, First Securities, INC.Broker
April 1990 - November 1990 · 7 mos
A. G. Edwards & Sons, INC.Broker
February 1989 - May 1990 · 1 yr 3 mos
Painewebber IncorporatedBroker
December 1987 - March 1989 · 1 yr 3 mos
Prudential-Bache Securities INC.Broker
February 1987 - January 1988 · 11 mos
Painewebber IncorporatedBroker
June 1985 - February 1987 · 1 yr 8 mos
Waddell & Reed, INC.Broker
February 1985 - June 1985 · 4 mos
State Registrations2 states
GATX
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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