James Shields is a registered investment advisor at Guardian Capital, LLC, based in Wexford, PA, with 14 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 241 clients with $130M 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 $500K | 1.50% |
| $500K - $1.0M | 1.20% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $3.0M | 0.80% |
| $3M+ | 0.50% |
The annual fee may be negotiable. When Guardian Capital uses Nucleus Model Marketplace to manage your assets, additional fees are incurred, ranging from 0.00% and 1.00% annually for strategist fees, up to 0.10% for administration, up to 0.15% for trading, and up to 0.05% for outsourced services.
Fee Estimator
Location
109 Vip Drive, Wexford, PA, 15090
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 is an attorney and managing partner in the Elder Care Offices of Shields & Boris, managing the law firm and representing clients, which takes nearly full-time. He is also a partner at Miller Shields & Assoc., providing estate planning, insurance, and tax planning services, including drafting legal documents, with the time commitment included in the previous activity.
Employment History
Current Registrations
Guardian Capital, LLC
State Registrations1 state
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.