James Mumaw
James Mumaw is a registered investment advisor at Ameriprise Financial Services, LLC, based in Williamsburg, VA, with 24 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 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
4801 Courthouse St, Ste 305, Williamsburg, VA, 23188-2678
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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.
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James co-owns YGB Operations LLC to manage his Ameriprise business, dedicating about 10-20% of his time. He also owns Bluestone Advisors LLC for renting office space, Mumaw and Associates, LLC for his advisory practice, and H&K Hilltop Farms, spending minimal time on these ventures.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Ids Life Insurance CompanyBroker
State Registrations14 states
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