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James Alberts

N.E.W. Advisory Services, LLC
29 Years of Experience
Green Bay, WI
2 DisclosuresBroker
View SEC Summary
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James Alberts is a registered investment advisor at N.E.W. Advisory Services, LLC, based in Green Bay, WI, 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 Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 4,862 clients with $1.6B in assets under management.

N.E.W. Advisory Services, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
15 advisors
Number of Clients
4,862 clients
Average Client Portfolio
$329K average
Assets Under Management
$1.6B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K1.50%
$50K - $100K1.40%
$100K - $250K1.30%
$250K - $500K1.25%
$500K - $1.0M1.20%
$1.0M - $2.0M1.15%
$2.0M - $3.0M1.13%
$3.0M - $4.0M1.11%
$4.0M - $5.0M1.09%
$5.0M - $7.5M1.05%
$7.5M+1.00%

Fees are negotiable. Accounts held direct with a product sponsor are charged a flat 0.75%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

425 Packerland Dr., Suite C, Green Bay, WI, 54303

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2014
Denied
Customer Dispute
February 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James operates under his own name for non-investment related business at his branch location. He is also the owner and a CPA at Alberts CPA and Associates LLC and an IAR under New Advisory Services RIA.

Employment History
Current Registrations
Geneos Wealth Management, INC.Broker
June 2022 - Present · 4 yrs 4 mos
N.E.W. Advisory Services, LLC
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Woodbury Financial Services, INC.
July 2017 - June 2022 · 4 yrs 11 mos
Woodbury Financial Services, INC.Broker
September 2004 - June 2022 · 17 yrs 9 mos
Sunamerica Securities, INC.Broker
October 2001 - September 2004 · 2 yrs 11 mos
Sunamerica Securities, INC.Broker
October 1999 - October 2001 · 2 yrs
Sii Investments, INC.Broker
December 1996 - October 1999 · 2 yrs 10 mos
Wma Securities, INC.Broker
October 1996 - December 1996 · 2 mos
State Registrations9 states
AZFLIDMIMNNVSDWAWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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