JU
JU

James William Ugone

29 Years of Experience
Sells Insurance
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
32 advisors
Number of Clients
3,399 clients
Average Client Portfolio
$416K average
Assets Under Management
$1.4B

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K2.50%
$250K - $500K2.25%
$500K - $1.0M2.00%
$1.0M - $5.0M1.75%
$5M+1.50%

Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

7 Grove Street Suite 301, Topsfield, MA, 01983

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James is an investment adviser representative at Novem Group, dedicating nearly full-time hours to this role. He is also the owner of Topsfield Financial Group and a licensed insurance agent, selling occasional insurance products and spending minimal time on this activity.

Employment History
Current Registrations
Novem Group
November 2014 - Present · 11 yrs 3 mos
Previous Registrations
Osaic Wealth, INC.Broker
October 2024 - December 2024 · 2 mos
American Portfolios Advisors, INC
December 2014 - December 2014 · 0 mos
American Portfolios Advisors, INC
November 2006 - November 2014 · 8 yrs
American Portfolios Financial Services, INC.Broker
January 2002 - October 2024 · 22 yrs 9 mos
Commonwealth Financial NetworkBroker
January 1996 - January 2002 · 6 yrs
State Registrations17 states
AZCACOCTFLILMAMEMINCNHNYPARISCVTWA
Advisor
Exams
No exam information available for this advisor.