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James Moore

Capital Synergy Partners
30 Years of Experience
Irvine, CA
Broker
View SEC Summary
View SEC Summary

James Moore is a registered investment advisor at Capital Synergy Partners, based in Irvine, CA, with 30 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, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 331 clients with $100M in assets under management.

Capital Synergy Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
331 clients
Average Client Portfolio
$309K average
Assets Under Management
$102.3M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.00%
$1M+1.75%

Fees are negotiable at the discretion of Capital Synergy Partners. Third-party money manager program fees will not exceed 1.5%.

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

Location

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

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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.

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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 · 7 yrs 7 mos
Capital Synergy PartnersBroker
March 2017 - Present · 9 yrs 7 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

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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