James Mooreland
James Mooreland is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Woodbury, MN, 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 Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
539 Bielenberg Drive, Suite 210, Woodbury, MN, 55125
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Regulatory History (1)
Customer Dispute
September 2002Other Business Activities
James is the owner of The Emotional Investor, providing educational seminars and materials on behavioral economics to financial advisors and the public, dedicating about a quarter of his time. He also works as a financial advisor at GT Financial Advisors (about 10-20% of his time) and spends minimal time as an author.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Multi-Financial Securities CorporationBroker
State Registrations4 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.