James Cook
James Cook is a registered investment advisor at Capital Investment Advisory Services, LLC, based in Cumming, GA, 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, Investment Management, Retirement Planning, Tax Planning. Their firm serves 5,673 clients with $1.9B 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 | 2.00% |
The standard fee is 2% annually, but it may be negotiable. CIAS may also recommend third-party managed accounts, where fees are determined by the third-party provider, but the total combined advisory fee should not exceed 2%.
Fee Estimator
Location
Cumming, GA
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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 as an insurance agent selling risk management and non-registered products, dedicating about a quarter of his time to this activity. He also works as an insurance agent for Penn Mutual, spending a few hours per week on this.
Employment History
Current Registrations
Capital Investment Advisory Services, LLC
Capital Investment Group, INC.
Capital Investment Group, INC.Broker
Previous Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Allmerica Investments, INC.Broker
State Registrations3 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.