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Doran James

J. W. Cole Advisors, INC.
38 Years of Experience
Rock Springs, WY
3 DisclosuresBroker
View SEC Summary
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Doran James is a registered investment advisor at J. W. Cole Advisors, INC., based in Rock Springs, WY, with 38 years of industry experience. Doran is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 31,247 clients with $8.2B in assets under management.

J. W. Cole Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
495 advisors
Number of Clients
31,247 clients
Average Client Portfolio
$264K average
Assets Under Management
$8.2B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M3.00%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10M+0.50%

Fees may be negotiated or charged at a flat rate. Program fees and transaction costs may apply separately depending on the selected account type.

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

Location

2620 Commercial Way, Suite 100, Rock Springs, WY, 82901

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History

Regulatory History (3)
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
December 2024
Settled
Customer Dispute
October 2024
Settled
Customer Dispute
February 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Doran is a partner at Wyoming Wealth Management, LLC, dedicating full-time hours to client interaction, financial guidance, and business operations. He also owns Doran C James, Inc. for tax purposes and manages the Doran C. James Living Trust, both requiring minimal time.

Employment History
Current Registrations
J.W. Cole Financial, INC.Broker
June 2023 - Present · 3 yrs 4 mos
J. W. Cole Advisors, INC.
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
LPL Financial LLCBroker
November 2011 - May 2023 · 11 yrs 6 mos
LPL Financial LLC
November 2011 - May 2023 · 11 yrs 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - November 2011 · 2 yrs 5 mos
Morgan Stanley Smith BarneyBroker
June 2009 - November 2011 · 2 yrs 5 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
June 2005 - April 2007 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
June 2005 - April 2007 · 1 yr 10 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2005 · 11 yrs 11 mos
Lehman Brothers INC.Broker
May 1988 - July 1993 · 5 yrs 2 mos
E. F. Hutton & Company INCBroker
November 1987 - May 1988 · 6 mos
State Registrations16 states
ARAZCACOKSLAMOMTNMNVORSDTXUTWAWY
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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