James Allen is a CFP-designated registered investment advisor at Anchor Bay Private Wealth LLC, based in Carlsbad, CA, with 28 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 62 clients with $52M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.25% |
| $250K - $500K | 1.10% |
| $500K - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.90% |
| $5M+ | 0.90% |
Fees are negotiable for accounts over $5,000,000.
Fee Estimator
Location
5780 Fleet Street, Suite 308, Carlsbad, CA, 92008
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Other Business Activities
James is the President of Anchor Bay Capital, Inc. (Financial Planning and RIA), Anchor Bay Tax & Consulting LLC (Tax Preparation and Estate Consulting), and Anchor Bay Private Wealth (RIA and Financial Planning), dedicating full-time hours to Anchor Bay Capital, Inc. and about a quarter of his time to the other two. James is also the Board Chair for the Financial Planning Association of Orange County.
Employment History
Current Registrations
Anchor Bay Private Wealth LLC
Anchor Bay Capital, INC.
Anchor Bay Securities, LLCBroker
Previous Registrations
USA Financial Securities CorporationBroker
USA Financial Securities Corporation
Financial Advisors Network
LPL Financial LLCBroker
Metlife Investors Distribution CompanyBroker
Sentinel Advisory Services, INC.
Sentinel Advisory Services, INC.
Metlife Investors Distribution CompanyBroker
Pacific Mutual Distributors, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
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.