James Peters
James Peters is a registered investment advisor at Triumph Capital Management, based in Denver, CO, 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, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,239 clients with $650M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Triumph Capital Management (TCM) offers investment management services for a fee, which covers advisory and consulting services, trade execution, investment supervision, and account maintenance. The maximum annual investment advisory fee is 3.00%, but the specific fee is outlined in the investment advisory agreement and may vary based on factors like account size and complexity. TCM also charges a minimum fee of $180 annually for accounts held at Charles Schwab, though this fee may be waived or reduced. TCM also offers the Managed by TCM program at Security Benefit, with advisory fees ranging from 1.0% to 1.5%, depending on the Security Benefit option selected.
Location
1610 Wynkoop Street, Suite 550, Denver, CO, 80202
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2018Other 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
Previous Registrations
Cetera Advisor Networks LLCBroker
Summit Financial Group INC
Cetera Investment Advisers LLC
Summit Brokerage Services, INC.Broker
J P Turner & Company Capital Management, LLC
J.P. Turner & Company, L.L.C.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
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.