James Gates
James Gates is a registered investment advisor at Superior Planning Wealth Management & Family Office, based in San Diego, CA, with 28 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 Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 516 clients with $350M 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% |
The maximum annual fee is 2.00 percent. Specific fees are determined based on asset size, portfolio complexity, and account activity, and are negotiable at the firm's discretion.
Fee Estimator
Location
10085 Carroll Canyon Road, Suite 150, San Diego, CA, 92131
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an agent/owner at Gates Financial Services, Inc. since 2017, where he sells insurance and securities, provides services, and prepares taxes, dedicating about a quarter of his time. He is also a financial advisor at Superior Planning Financial Solutions, selling securities and insurance, and owns/is a member of two holding companies for commercial real estate.
Employment History
Current Registrations
Superior Planning Wealth Management & Family Office
Planmember Securities Corporation
Planmember Securities CorporationBroker
Previous Registrations
Royal Alliance Associates, INC.Broker
Legend Advisory CORP
Legend Equities CorporationBroker
Lincoln Investment Planning, INC
Lincoln Investment Planning, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Pim Financial Services, INC.Broker
State Registrations17 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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