James Barclay
James Barclay is a registered investment advisor at Advisors Asset Management, INC., based in Princeton, NJ, with 30 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 1,867 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AAM provides investment management services for separately managed accounts. The annual fees for fixed income strategies range from 0.20% to 2.00%, and equity strategies range from 0.45% to 2.5%. Fees and services may be negotiable. AAM usually requires a minimum account size of $250,000 for fixed income strategies and $100,000 for equity strategies.
Location
300 Carnegie Center Suite 100, Princeton, NJ, 08540
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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 →Employment History
Current Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
Advisors Asset Management, INC.
Previous Registrations
North Square Investments, LLC
Compass Distributors, LLCBroker
Imst Distributors, LLCBroker
Oak Ridge Investments, LLC
Neuberger Berman Management LLCBroker
Neuberger Berman LLC
Neuberger Berman LLCBroker
Calamos Financial Services, INC.Broker
Van Kampen Funds INC.Broker
Focused Investments L.L.C.Broker
Wayne Hummer Investments L.L.C.Broker
State Registrations1 state
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