James Whaley
James Whaley is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Houston, TX, with 33 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Houston, TX
Get directionsHistory
Regulatory History (1)
Criminal
August 1974Other Business ActivitiesSells Insurance
James is a landlord for multiple rental properties and acts as a trustee. He also works as a sole proprietor selling life insurance, dedicating a few hours per week to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Questar Asset Management, INC.
Questar Capital CorporationBroker
Usallianz Securities, INC.Broker
Park Avenue Securities LLCBroker
Guardian Investor Services CorporationBroker
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.