James Sumpter
James Sumpter is a CFP-designated registered investment advisor at Private Client Services, LLC, based in Vestavia Hills, AL, with 28 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 3,251 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.50% |
| $1M+ | 1.25% |
Fees may be negotiable. The Investment Model Marketplace provides access to portfolios managed by third party managers, with subscription fees ranging from 0.15% to 1.00% in addition to the IAR advisory fee.
Fee Estimator
Location
1400 Urban Center Drive, Suite 475, Vestavia Hills, AL, 35242-2245
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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 involved in several business activities, including tax preparation, community leadership, and serving as a registered representative and IAR with RFG Advisory. He also owns CMC Financial LLC as a financial advisor and insurance agent, and is a trustee for an irrevocable life insurance trust; he dedicates full-time hours to CMC Financial LLC.
Employment History
Current Registrations
Private Client Services, LLCBroker
Rfg Advisory, LLC
Previous Registrations
LPL Financial LLCBroker
Securities America, INC.Broker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations12 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.