James Francis Peters

Risk Paradigm Group, LLC

35 Years of Experience

4 Disclosures

View SEC Summary

Areas of Practice

Investment Management

Risk Paradigm Group, LLC

Compensation

Fee-Only (AUM)

Firm Size

2 advisors

Number of Clients

4 clients

Average Client Portfolio

$24.9M average

Assets Under Management

$99.5M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Location

255 East Brown Street, Suite 101, Birmingham, MI, 48009

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History

Regulatory History (4)

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

July 1998

Award / Judgment

Customer Dispute

January 1996

Settled

Customer Dispute

May 1993

Settled

Employment Separation After Allegations

May 1993

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Other Business Activities

James spends a few hours per week on administrative tasks for Tactical Allocation Group, LLC. This work is performed outside of trading hours.

Employment History

Current Registrations

Risk Paradigm Group, LLC

July 2016 - Present · 9 yrs 7 mos

Rpg Family Wealth Advisory, LLC

July 2016 - Present · 9 yrs 7 mos

Previous Registrations

Tactical Allocation Group, LLC

April 2010 - July 2017 · 7 yrs 3 mos

Leonard & CompanyBroker

March 2004 - October 2006 · 2 yrs 7 mos

UBS Financial Services INC.Broker

January 1995 - April 2004 · 9 yrs 3 mos

Kidder, Peabody & CO. IncorporatedBroker

May 1993 - January 1995 · 1 yr 8 mos

Lehman Brothers INC.Broker

February 1988 - May 1993 · 5 yrs 3 mos

E. F. Hutton & Company INCBroker

August 1986 - February 1988 · 1 yr 6 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.