James Conwell
James Conwell is a registered investment advisor at International Assets Investment Management, LLC, based in Daphne, AL, with 39 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 5,961 clients with $2.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IAIM charges an annual asset-based investment advisory fee up to 3.00%, negotiated between the client and the investment advisor representative (IAR). The fee depends on factors like the size of the relationship, inclusion/exclusion of transaction fees, and complexity of services. Fees are typically based on the market value of assets under management at the end of the prior month or quarter, but may be offered as a fixed quarterly fee. Clients also pay transaction fees for each trade, including no-transaction-fee mutual funds. IAIM may recommend third-party asset managers (TPAMs), in which case the client's overall fees will include IAIM's fee plus the TPAM's fees.
Location
9812 Millwood Circle, Daphne, AL, 36527
Get directionsHistory
Regulatory History (8)
Customer Dispute
November 2024Customer Dispute
June 2024Customer Dispute
March 2017Customer Dispute
January 2017Regulatory
July 2016Customer Dispute
April 2008Customer Dispute
March 2008Employment Separation After Allegations
November 2007Other Business Activities
James is an employee of Rockbridge Wealth Management, a securities business, since 2008, dedicating full-time hours to sales and service. He is also an advisor with International Assets Investment Management LLC, an RIA affiliate, since 2018, also dedicating full-time hours.
Employment History
Current Registrations
International Assets Investment Management, LLC
International Assets Advisory, LLCBroker
Previous Registrations
Wfg Advisors, LP
Wfg Investments, INC.Broker
Gunnallen Financial, INC
Gunnallen Financial, INCBroker
Colonial Brokerage, INC.Broker
Compass Brokerage, INC.
Compass Brokerage, INC.Broker
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.