James Dooling
James Dooling is a registered investment advisor at Advisors Asset Management, INC., based in Princeton, NJ, with 21 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,867 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AAM provides investment management services for separately managed accounts. The annual fees for fixed income strategies range from 0.20% to 2.00%, and equity strategies range from 0.45% to 2.5%. Fees and services may be negotiable. AAM usually requires a minimum account size of $250,000 for fixed income strategies and $100,000 for equity strategies.
Location
300 Carnegie Center Suite 100, Princeton, NJ, 08540
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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 →Employment History
Current Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
Previous Registrations
Hartford Funds
Hartford Funds Distributors, LLCBroker
Orion Portfolio Solutions, LLC
Brinker Capital Investments, LLC.
Brinker Capital INC
Brinker Capital Securities, LLCBroker
F.N. Wolf & CO., INC.Broker
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.