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James Wright

Aegis Capital CORP.
39 Years of Experience
New York, NY
6 DisclosuresBroker
View SEC Summary
View SEC Summary

James Wright is a registered investment advisor at Aegis Capital CORP., based in New York, NY, with 39 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 Investment Management, Retirement Planning. Their firm serves 3,083 clients with $1.8B in assets under management.

Aegis Capital CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
99 advisors
Number of Clients
3,083 clients
Average Client Portfolio
$577K average
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.50%
$250K - $1.0M2.25%
$1M+2.00%

Rates shown are the maximums when most transaction costs are charged to the client. If transaction costs are charged to Aegis Capital Corp., the maximum rates are 3.00% on the first $250k, 2.75% on the next $750k, and 2.50% over $1M. Fees may be negotiable.

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

Location

New York, NY

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History

Regulatory History (6)
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.
Regulatory
January 2018
Final
Employment Separation After Allegations
January 2015
Employment Separation After Allegations
January 2014
Customer Dispute
January 2004
Denied
Customer Dispute
March 2003
Denied
Customer Dispute
March 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is involved with Bbot Inc., a technology services company, as an investor. He dedicates minimal time to this business.

Employment History
Current Registrations
Aegis Capital CORP.Broker
October 2021 - Present · 5 yrs
Aegis Capital CORP.
October 2021 - Present · 5 yrs
Aegis Capital CORP.
October 2021 - Present · 5 yrs
Previous Registrations
American Portfolios Advisors, INC
March 2015 - November 2021 · 6 yrs 8 mos
American Portfolios Financial Services, INC.Broker
March 2015 - November 2021 · 6 yrs 8 mos
Raymond James Financial Services, INC.Broker
February 2014 - February 2015 · 1 yr
Ids Life Insurance CompanyBroker
July 2000 - July 2006 · 6 yrs
Ameriprise Financial Services, INC.Broker
February 1987 - January 2014 · 26 yrs 11 mos
State Registrations11 states
AZCACTDCFLNJNYOHSCTNVA
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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