James O'brien is a registered investment advisor at Advice and Planning Services, 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 Investment Management, Retirement Planning. Their firm serves 72,807 clients with $34B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TC Services offers several managed account programs with different fee structures:
- TIAA Personal Portfolio (TPP): 0.30% annually of the assets managed. This program is closed to new investors.
- TIAA Portfolio Advisor (PA): Fees range from 1.15% to 0.40% annually based on a tiered schedule.
- Private Asset Management (PAM): Fees range from 0.90% to 0.40% annually for a blended portfolio, or 0.50% to 0.15% annually for a fixed income portfolio, based on a tiered schedule. Transaction costs are additional for PAM.
TC Services may negotiate fee arrangements based on various factors. The fees for TPP and PA are inclusive of most transaction costs, while PAM has separate transaction costs.
Location
35 Celebration Drive, Rochester, NY, 14620
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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 Activities
James is the treasurer for the Victor Girls Lacrosse Booster Club, responsible for bill payments, accounting, and financial reporting. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Tiaa-Cref Individual & Institutional Services, LLC
Tiaa-Cref Individual & Institutional Services, LLCBroker
Advice and Planning Services
Previous Registrations
Allspring Funds Management, LLC
Allspring Funds Distributor, LLCBroker
Putnam Investment Management, LLC
Putnam Retail Management Limited PartnershipBroker
J.P. Morgan Institutional Investments INC.Broker
Jpmorgan Distribution Services, INC.Broker
Van Kampen Advisors INC
Van Kampen Funds INC.Broker
Eaton Vance Distributors, INC.Broker
Van Kampen Funds INC.Broker
Oppenheimerfunds Distributor, INC.Broker
Rochester Fund DistributorsBroker
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.