James Englert
James Englert is a CFP-designated registered investment advisor at Allworth Financial, L.P., based in Rochester, NY, with 29 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, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 29,297 clients with $34B 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% |
Maximum fee is 2.00% per year, subject to a $2,500 annual minimum fee. Fees are negotiable and can vary based on specific client circumstances.
Fee Estimator
Location
180 South Clinton Ave, Suite 300, Rochester, NY, 14604
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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 performs tax preparation at High Falls Advisors, dedicating a few hours per week during tax season. He is also an enrolled agent and sells insurance at High Falls Advisors, earning commission-based compensation.
Employment History
Current Registrations
Allworth Financial, L.P.
High Falls Advisors, INC.
Previous Registrations
Leigh Baldwin & CO., LLCBroker
Wall Street Financial Group, INC.Broker
Ensemble Financial Services, INC.Broker
Sage, Rutty & CO., INC.Broker
State Registrations1 state
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.
Exams
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