James Uren
James Uren is a CFP-designated registered investment advisor at Phase III Advisory Services, LTD, based in Buffalo Grove, IL, with 25 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 483 clients with $210M 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 | 1.90% |
| $250K - $500K | 1.70% |
| $500K - $750K | 1.45% |
| $750K - $1.3M | 1.20% |
| $1.3M+ | 1.00% |
Rates reflect the Private Management Account and UMA Portfolios schedule. Alternate fund and tactical allocation schedules have lower maximum fees starting at 1.40% for under $100K and dropping to 0.75% for $1.25M and above. Fees are negotiable.
Fee Estimator
Location
1110 W. Lake Cook Road, Suite 265, Buffalo Grove, IL, 60089
Get directionsHistory
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 ActivitiesSells Insurance
James provides financial planning and investment advisory services through Phase III Advisory Services, dedicating about half his time. He also recommends and sells insurance products through Phase III Advisory Services, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
Phase III Advisory Services, LTD
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Royal Alliance Associates, INC.
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.
Exams
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