James Clouse
James Clouse is a registered investment advisor at Osaic Advisory Services, LLC, based in Frankfort, KY, 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 Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
307 Washington Street, Frankfort, KY, 40601
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2010Other Business Activities
James is a managing member of Charles T Mitchell Company PLLC, a CPA firm, taking nearly full-time. He also has ownership interests in several rental real estate LLCs and is a co-owner of a van rental business, dedicating minimal time to these activities.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.Broker
Previous Registrations
Arbor Point Advisors
Securities America, INC.Broker
Arbor Point Advisors
Fsc Securities CorporationBroker
Fsc Securities Corporation
Advantage Capital Corporation
Advantage Capital Corporation
Advantage Capital CorporationBroker
Raymond James Financial Services, INC.Broker
Robert Thomas Securities, INCBroker
H.D. Vest Investment Securities, INC.Broker
State Registrations14 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.