Lloyd James is a registered investment advisor at Wellesley Asset Management, INC., based in Aurora, CO, with 22 years of industry experience. Lloyd is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 1,296 clients with $2B 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 | 1.00% |
Fees for referred client relationships range from 0.45% to 1.00% per annum based on agreements negotiated with the referring advisory firm or wrap sponsor.
Fee Estimator
Location
Aurora, CO
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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 →Employment History
Current Registrations
Wellesley Asset Management, INC.
Foreside Fund Services, LLC
Foreside Fund Services, LLCBroker
Previous Registrations
Calamos Financial Services LLCBroker
Calamos Advisors LLC
T. Rowe Price Associates, INC.
T. Rowe Price Investment Services, INC.Broker
Wells Fargo Securities, LLCBroker
Wachovia Securities, LLCBroker
State Registrations13 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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