James Miklas
James Miklas is a registered investment advisor at Wellesley Asset Management, INC., based in Portsmouth, NH, with 36 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,478 clients with $2.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wellesley Asset Management's fees for referred clients range from 0.45% to 1.00% per year, based on the agreement with the referring advisory firm. There is a $500,000 minimum account size for new clients. Fees are deducted from client accounts quarterly, in advance, and unearned fees are refunded if the relationship ends early.
Location
100 Market Street, Suite 203, Portsmouth, NH, 03801
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 1998Other 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.
Foreside Fund Services, LLC
Foreside Fund Services, LLCBroker
Previous Registrations
Principal Funds Distributor, INC.Broker
Princor Financial Services CorporationBroker
Phoenix Equity Planning CorporationBroker
Nsr Distributors, INC.Broker
Krupp Securities CorporationBroker
Shearson Lehman Hutton INC.Broker
Jacques-Miller Investment CompanyBroker
Hall Securities CorporationBroker
State Registrations5 states
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.