James Ennis is a ChFC-designated registered investment advisor at Focus Financial, based in Des Moine, IA, with 35 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 Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 13,684 clients with $6.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Advisors may use flat fee percentages, fixed dollar fees, linear schedules, or tiered schedules. Fees are negotiable and depend on the account size, complexity, and investment types. Maximum stated rate for general tiers is typically up to 1.00%.
Fee Estimator
Location
431 28th Street, Suite 102, Des Moine, IA, 50312
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James works full-time as a financial advisor at Focus Financial Network, Inc. He also works about 10-20% of his time as an insurance agent at Focus Financial Network, Inc., selling life, health, and disability insurance. Additionally, James is the owner of Purple Pachyderm, LLC (for tax purposes) and an at-large board member of The Barbican Owners Association.
Employment History
Current Registrations
Focus Financial
Osaic Wealth, INC.Broker
Previous Registrations
Voya Financial Advisors, INC.Broker
Voya Financial Advisors, INC.
Ennis Planning Services
Locust Street Securities, INC.
Vestax Securities Corporation
Locust Street Securities, INC.Broker
New England SecuritiesBroker
Painewebber IncorporatedBroker
Charles Schwab & CO., INC.Broker
New England SecuritiesBroker
Vsr Financial Services, INC.Broker
R. G. Dickinson & CO.Broker
First Investors CorporationBroker
State Registrations10 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.