James Graves
James Graves is a registered investment advisor at Rockefeller Capital Management, based in Ny, NY, with 29 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 Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.
Fee Estimator
Location
640 Fifth Avenue, Floor 6, Ny, NY, 10019
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2000Employment History
Current Registrations
Rockefeller Financial LLCBroker
Rockefeller Capital Management
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Salomon Smith Barney INC.
Salomon Smith Barney INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
First Heartland Capital, INC.Broker
State Registrations22 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.
Exams
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