James Iannazzo
James Iannazzo is a registered investment advisor at Aegis Capital CORP., based in Westport, CT, with 29 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 3,083 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Aegis Capital Corp. charges a fee based on a percentage of the assets they manage for you.
If most transaction costs are charged to you:
- First $250,000 - maximum 2.50% per year
- Next $750,000 - maximum 2.25% per year
- Over $1,000,000 - maximum 2.00% per year
If most transaction costs are charged to Aegis:
- First $250,000 - maximum 3.00% per year
- Next $750,000 - maximum 2.75% per year
- Over $1,000,000 - maximum 2.50% per year
The fee can be charged in one of three ways: Floating Rate, Incremental Rate, or Fixed Rate, as specified in your client agreement. The amount of the fee may be negotiable.
Location
156 Kings Highway North, 1st Floor, Westport, CT, 06880
Get directionsHistory
Regulatory History (3)
Regulatory
June 2023Criminal
January 2022Customer Dispute
April 2015Other Business Activities
James is a principal at Costal Private Wealth, established for tax purposes to handle 1099 income from Aegis Capital Corp. He dedicates minimal time to this activity.
Employment History
Current Registrations
Aegis Capital CORP.
Aegis Capital CORP.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations18 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.