Areas of Practice
Investment ManagementFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
169 clients
Average Client Portfolio
$2.1M average
Assets Under Management
$359.7M
Fee Structure
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.10% |
| $500K - $2.0M | 1.00% |
| $2M+ | 0.90% |
SWS Investment Management fee is 0.50% on select SMA stock portfolios, in addition to wrap fees. SWS reserves the right to lower fees at its discretion.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
230 West Street, Suite 500, Columbus, OH, 43215
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2007Settled
Other Business Activities
James is the owner of Parker Asset Strategies Group, a financial services company. This activity is not investment-related and does not occur during trading hours.
Employment History
Current Registrations
Sws Partners, LLC
January 2017 - Present · 9 yrs 2 mos
Previous Registrations
Sws Partners, LLC
December 2015 - December 2016 · 1 yr
Ameriprise Financial Services, INC.
January 2002 - November 2015 · 13 yrs 10 mos
State Registrations2 states
OHTX
Advisor
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
No exam information available for this advisor.