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James Peters

Triumph Capital Management
19 Years of Experience
Denver, CO
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary

James Peters is a registered investment advisor at Triumph Capital Management, based in Denver, CO, with 19 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Corporate Executives, Estate Planning, and 6 more. Their firm serves 2,239 clients with $650M in assets under management.

Triumph Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14 advisors
Number of Clients
2,239 clients
Average Client Portfolio
$288K average
Assets Under Management
$645.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Minimum Annual Fee:$180
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K0.90%
$100K - $250K0.85%
$250K - $500K0.80%
$500K - $1.0M0.75%
$1.0M - $5.0M0.65%
$5.0M - $10.0M0.55%
$10M+0.35%

Rates reflect the Triumph Turnkey Asset Management Program typical tiered schedule. Maximum firm-wide annual fee is up to 3.00%. Charles Schwab accounts have a $180 annual minimum fee which may be waived.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1610 Wynkoop Street, Suite 550, Denver, CO, 80202

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History

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
May 2018
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an insurance agent with Triumph Capital, LLC since 2020, selling fixed, long-term care, and disability insurance, spending minimal time on this. He also owns Jim B. Peters, LLC since 2015 for tax planning and bill paying, which requires no time commitment.

Employment History
Current Registrations
Triumph Capital Management
February 2016 - Present · 10 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLCBroker
September 2019 - February 2020 · 5 mos
Summit Financial Group INC
October 2015 - February 2020 · 4 yrs 4 mos
Cetera Investment Advisers LLC
October 2015 - February 2020 · 4 yrs 4 mos
Summit Brokerage Services, INC.Broker
August 2015 - September 2019 · 4 yrs 1 mo
J P Turner & Company Capital Management, LLC
May 2012 - December 2015 · 3 yrs 7 mos
J.P. Turner & Company, L.L.C.Broker
May 2012 - September 2015 · 3 yrs 4 mos
AXA Advisors, LLC
September 2007 - May 2012 · 4 yrs 8 mos
AXA Advisors, LLCBroker
June 2007 - May 2012 · 4 yrs 11 mos
State Registrations1 state
CO
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.
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