Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
735 clients
Average Client Portfolio
$379K average
Assets Under Management
$278.4M

Fee Structure

Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K1.50%
$500K - $1.0M1.20%
$1.0M - $1.5M1.00%
$1.5M - $2.0M0.80%
$2M+0.70%

Fee is negotiable depending on individual client circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

1795 Alysheba Way, Suite 7104, Lexington, KY, 40509

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History

Regulatory History
Clean regulatory record

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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Other Business Activities

James is the owner and manager of JEM Financial Planning, LLC, which is set up for tax and limited liability purposes. He dedicates minimal time to this activity.

Employment History
Current Registrations
Investments & Financial Planning, LLC
June 2012 - Present · 13 yrs 8 mos
Previous Registrations
Securities America, INC.Broker
September 2020 - July 2021 · 10 mos
Securities Service Network, LLCBroker
August 2017 - September 2020 · 3 yrs 1 mo
Wfg Investments, INC.Broker
June 2012 - August 2017 · 5 yrs 2 mos
LPL Financial LLC
October 2005 - July 2012 · 6 yrs 9 mos
LPL Financial LLCBroker
October 2005 - July 2012 · 6 yrs 9 mos
Jefferson Pilot Securities CORP
August 2003 - October 2005 · 2 yrs 2 mos
Jefferson Pilot Securities CorporationBroker
June 2002 - October 2005 · 3 yrs 4 mos
State Registrations2 states
KYTX
Advisor
Exams
No exam information available for this advisor.