James Pugh is a CFA-designated registered investment advisor at Captrust, based in Roanoke, VA, with 27 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 41,750 clients with $1200B 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 $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.85% |
| $5M+ | 0.70% |
Fees are negotiable and may be higher, lower, or waived based on account size, investment approach, complexity, and relationship duration. Assets above $10M are negotiable.
Fee Estimator
Location
10 South Jefferson St., #1210, Roanoke, VA, 24011
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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 Activities
James is an advisory board member for the Junior League of Roanoke Valley's investment committee, dedicating minimal time to reviewing investment managers and asset allocation. He is also a board member of the CFA Society Virginia, a financial professional organization, spending minimal time on networking and professional development.
Employment History
Current Registrations
Captrust
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wachovia Capital Markets, LLCBroker
Wachovia Securities, LLCBroker
First Union Securities, INC.Broker
First Union Capital Markets CORP.Broker
State Registrations2 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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