James Rivers
James Rivers is a registered investment advisor at Integrity Alliance, LLC, based in Newport Beach, CA, with 18 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 14,148 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Integrity Alliance offers investment management through various programs.
Edge Program:
- Fees include a program fee (up to 0.35% annually), an advisor fee (up to 2.00% annually), and potential third-party sub-advisor fees.
Select Program:
- Fees range from 1.00% to 2.80% annually on the first $1,000,000, 1.00% to 2.20% on the next $2,000,000, and 0.50% to 1.75% on assets over $3,000,000.
- A 0.10% trading platform fee is added to the maximum account fee for accounts with the broker-dealer arm.
Fees are assessed on all assets, including cash and money market balances. Margin accounts may incur additional fees. Fees are typically charged quarterly in advance, pro-rated for mid-quarter openings, and adjusted for significant deposits or withdrawals.
Location
620 Newport Center Drive, Ste 550, Newport Beach, CA, 92660
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 owns 50% of SEEK LLC, his wife's health coaching company, and spends minimal time on it. He is also the President of both United Capital Financial Advisors, LLC, and United Capital Risk Management, LLC, dedicating about a quarter of his time to each.
Employment History
Current Registrations
Integrity Alliance, LLC.Broker
United Capital Financial Advisors
Previous Registrations
Lion Street Financial, LLCBroker
Goldman Sachs & CO. LLCBroker
Mercer Allied Company, L.P.Broker
The Ayco Company,l.p.
Goldman, Sachs & CO.Broker
The Ayco Company,l.p.
Mercer Allied Company, L.P.Broker
State Registrations2 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.