James Hawes
James Hawes is a registered investment advisor at New York Life Investment Management LLC, based in New York, NY, with 32 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 1,042 clients with $110B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
NYLIM does not directly manage investments for individual investors. Instead, NYLIM provides operational, administrative, and trading services for managed accounts offered through wrap fee programs sponsored by other firms. As part of these programs, NYLIM may engage subadvisors to provide investment advice and trade execution. The annual management fee ranges from 0.25% to 0.80% of assets under management, paid by the sponsor or client, and varies depending on the sponsor, investment strategy, account type, services provided, and assets in the program.
Location
51 Madison Avenue, New York, NY, 10010
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
New York Life Investment Management LLC
Nylife Distributors LLCBroker
Nylife Distributors LLC
Previous Registrations
Nylife Securities INC.Broker
Franklin/templeton Distributors, INC.Broker
State Registrations10 states
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