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James Ellis

J K R & Company, INC.
33 Years of Experience
Van Nuys, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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James Ellis is a registered investment advisor at J K R & Company, INC., based in Van Nuys, CA, with 33 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 95 clients with $140M in assets under management.

J K R & Company, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
95 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$136.3M

Fee Structure

Minimum Investment:$50K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Each advisor sets their own fee schedule, but the annual investment management fee will not exceed 1.5%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7145 Woodley Avenue, Van Nuys, CA, 91406

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2001
Final
Customer Dispute
March 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James operates Retirement Planning Assoc., a sole proprietorship that sells term insurance and performs presentations. He spends a few hours per week on this non-investment related business.

Employment History
Current Registrations
J K R & Company, INC.
March 2000 - Present · 26 yrs 7 mos
J K R & Company, INC.Broker
August 1999 - Present · 27 yrs 2 mos
Previous Registrations
Lincoln Financial Advisors CorporationBroker
September 1993 - August 1999 · 5 yrs 11 mos
The Lincoln National Life Insurance CompanyBroker
September 1993 - August 1999 · 5 yrs 11 mos
State Registrations7 states
ARCANVNYOKTXWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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