JD
JD
James Daly
38 Years of Experience
Lagrangeville, NY
1 Disclosure
James Daly is a registered investment advisor at Bluering Advisors, INC, based in Lagrangeville, NY, with 38 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 20 clients with $6.2M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
20 clients
Average Client Portfolio
$310K average
Assets Under Management
$6.2M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Fees are negotiable depending on the needs of the client and the complexity of the situation. The range is 1.50% - 2.25%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Lagrangeville, NY
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2007Denied
Employment History
Current Registrations
Bluering Advisors, INC
November 2021 - Present · 4 yrs 6 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
June 2014 - February 2021 · 6 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2011 - February 2021 · 9 yrs 7 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2011 · 2 yrs 2 mos
Citigroup Global Markets INC.Broker
May 2003 - June 2009 · 6 yrs 1 mo
Deutsche Bank Securities INC.Broker
January 2001 - May 2003 · 2 yrs 4 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
June 1987 - September 1997 · 10 yrs 3 mos
State Registrations1 state
NY
Advisor
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.