James Swinney
James Swinney is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Annapolis, MD, 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 Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 17,372 clients with $7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
B. Riley Wealth Advisors offers investment management through various programs. The Advisor-as-Portfolio Manager (APM) program allows your advisor to manage your account, potentially using outside managers. You'll pay an annual fee based on the value of your portfolio, which is negotiable up to a maximum. Transaction fees may be included or billed separately.
Third-Party Managed Programs are also available, utilizing the Envestnet platform. These programs also charge an annual fee based on the value of your portfolio, not exceeding 2.75%, which is negotiable. These programs may also be wrap fee programs.
Other third-party managed programs are available through Brinker, SEI, and AssetMark, with minimums starting at $500,000 for Brinker.
Location
Annapolis, MD
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Regulatory History (1)
Employment Separation After Allegations
August 2010Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
B. Riley Wealth ManagementBroker
B. Riley Wealth Management
Previous Registrations
B Riley Wealth Management
Morgan StanleyBroker
Morgan Stanley
Mutual of Omaha Investor Services, INC.
Mutual of Omaha Investor Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
MML Investors Services, INC.Broker
State Registrations13 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.