James Marshall
James Marshall is a registered investment advisor at Marshall Wealth Management, LLC, based in Sugar Land, TX, with 33 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, and 1 more. Their firm serves 92 clients with $6.2M 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 $500K | 1.50% |
| $500K - $1.0M | 1.00% |
| $1M+ | 1.00% |
Fees for portfolios over $1,000,001 are negotiable. The 1.5% fee for portfolios between $25,000 and $500,000 is based on client service reviews, 24/7 web based access & miscellaneous support.
Fee Estimator
Location
1404 Lake Point Pkwy, Sugar Land, TX, 77478
Get directionsHistory
Regulatory History (3)
Regulatory
April 2011Customer Dispute
November 2009Employment Separation After Allegations
April 2001Other Business Activities
James is the president and owner of Mini Moguls Edutainment Company, a financial education company providing comic books to schools. He dedicates a few hours per week to this non-investment related business.
Employment History
Current Registrations
Marshall Wealth Management, LLC
Previous Registrations
Summit Brokerage Services, INC.Broker
Sagepoint Financial, INC.Broker
Marshall Capital Management Group
Sentra Securities CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations2 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.