JM
JM

James Al Moore

29 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
23 advisors
Number of Clients
386 clients
Average Client Portfolio
$231K average
Assets Under Management
$89.1M

Fee Structure

Minimum Investment:$25K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M2.00%
$1M+1.75%

Fees may be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Loading...

Location

2860 Michelle Drive, Suite 150, Irvine, CA, 92606

Get directions

History

Regulatory History
Clean regulatory record

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 Vice President and Employee/Compliance Consultant for ERISA retirement plans at CPS Employee Benefits Insurance Solutions, Inc. He dedicates full-time hours to this role overall, with about half his time spent during market hours.

Employment History
Current Registrations
Capital Synergy Partners
March 2019 - Present · 6 yrs 11 mos
Capital Synergy PartnersBroker
March 2017 - Present · 8 yrs 11 mos
Previous Registrations
Voya Financial Advisors, INC.Broker
March 2012 - December 2014 · 2 yrs 9 mos
Voya Financial Partners, LLCBroker
January 2007 - January 2015 · 8 yrs
Lasalle St Securities, L.L.C.Broker
September 2005 - April 2006 · 7 mos
MML Investors Services, INC.Broker
May 2003 - May 2003 · 0 mos
Dean Witter Reynolds INC.Broker
June 1998 - August 2000 · 2 yrs 2 mos
Adp Broker-Dealer, INC.Broker
November 1995 - April 1998 · 2 yrs 5 mos
MML Investors Services, INC.Broker
August 1989 - August 1992 · 3 yrs
Cigna Securities, INC.Broker
March 1985 - July 1989 · 4 yrs 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
James Al Moore - Financial Advisor | TrueAdvisor