James Riley
James Riley is a registered investment advisor at Fifth Third Securities, INC., based in West Chester, OH, with 25 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 43,031 clients with $9.1B 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 | 1.50% |
| $250K - $500K | 1.35% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 0.80% |
Fees are negotiable. In the Passageway One Program, if the client selects to receive the Tax Overlay Service, this optional service has an additional fee on top of the Passageway Program Standard Fee Schedule.
Fee Estimator
Location
7810 Tylersville Square Drive, West Chester, OH, 45069
Get directionsHistory
Regulatory History (8)
Customer Dispute
February 2015Customer Dispute
November 2010Customer Dispute
April 2009Customer Dispute
February 2009Customer Dispute
January 2009Customer Dispute
December 2008Customer Dispute
November 2008Employment Separation After Allegations
November 2008Other Business Activities
James owns rental property in Sarasota, FL, acting as owner and landlord. He spends minimal time on this activity, and it does not interfere with his duties at the firm.
Employment History
Current Registrations
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Previous Registrations
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Firstar Investment Services,inc.Broker
1717 Capital Management CompanyBroker
State Registrations23 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.