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James Miklas

Wellesley Asset Management, INC.
36 Years of Experience
Longboat Key, FL
1 DisclosureBroker
View SEC Summary
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James Miklas is a registered investment advisor at Wellesley Asset Management, INC., based in Longboat Key, FL, with 36 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 High Net Worth, Investment Management. Their firm serves 1,296 clients with $2B in assets under management.

Wellesley Asset Management, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
17 advisors
Number of Clients
1,296 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$2.0B

Fee Structure

Minimum Investment:$500K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Fees for referred client relationships range from 0.45% to 1.00% per annum based on agreements negotiated with the referring advisory firm or wrap sponsor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Longboat Key, FL

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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
June 1998
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a Director at Wellesley Asset Management, Inc. since 2017, dedicating full-time hours to this role.

Employment History
Current Registrations
Wellesley Asset Management, INC.
February 2025 - Present · 1 yr 8 mos
Foreside Fund Services, LLC
November 2017 - Present · 8 yrs 11 mos
Foreside Fund Services, LLCBroker
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
Principal Funds Distributor, INC.Broker
January 2016 - January 2017 · 1 yr
Princor Financial Services CorporationBroker
September 2010 - April 2016 · 5 yrs 7 mos
Phoenix Equity Planning CorporationBroker
February 1995 - September 2008 · 13 yrs 7 mos
Nsr Distributors, INC.Broker
April 1990 - December 1993 · 3 yrs 8 mos
Krupp Securities CorporationBroker
March 1989 - March 1990 · 1 yr
Shearson Lehman Hutton INC.Broker
February 1987 - October 1988 · 1 yr 8 mos
Jacques-Miller Investment CompanyBroker
September 1985 - February 1987 · 1 yr 5 mos
Hall Securities CorporationBroker
August 1985 - September 1985 · 1 mo
State Registrations5 states
FLINMINHOH
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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