James Ennis is a ChFC-designated registered investment advisor at Focus Financial, based in Des Moine, IA, with 34 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, Retirement Planning, Tax Planning. Their firm serves 14,027 clients with $6.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Focus Financial Network offers personalized investment management services where advisors manage your investments based on your individual needs. Fees are typically charged quarterly, in advance, based on the value of your portfolio. The fee percentage is determined by your advisor and depends on factors like the type of service, account size, and complexity. FFN offers flat, linear, and tiered fee schedules. With a flat fee, your entire portfolio is billed at one percentage rate. With a linear fee schedule, the fee percentage decreases at intervals as your account value grows, and the resulting fee percentage is applied to the entire balance. With a tiered fee schedule, the asset values fall within separate tiers, and the corresponding decreasing percentage is applied to each tier.
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 Registrations9 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.