James Dillon
James Dillon is a registered investment advisor at Regal Investment Advisors LLC, based in Plymouth, IN, 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 Investment Management. Their firm serves 7,859 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LionShare charges an investment management fee that typically ranges from 0.30% to 1.00% per year, depending on the value of your account and the strategies used by your financial advisor. This fee is deducted directly from your account quarterly, in advance. The total advisory fee you pay includes LionShare's fee plus the fees charged by your financial advisor. Fees and payment arrangements are negotiable and vary on a case-by-case basis when LionShare is used by a primary financial advisor.
Location
2901 Miller Drive, Suite B, Plymouth, IN, 46563
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 a partner at Dillon-Umbaugh Wealth Management, Kuhn Dillon Umbaugh, and KDU Holdings, and also prepares taxes and provides accounting services. He also sells fixed insurance, medical insurance, and life insurance products, dedicating minimal time to each of these insurance sales activities.
Employment History
Current Registrations
Regulus Financial Group, LLCBroker
Regal Investment Advisors LLC
Previous Registrations
Investment Advisors
Proequities, INC.Broker
PNC Investments
PNC InvestmentsBroker
Natcity Investments, INC.Broker
Natcity Investments, INC.
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
State Registrations6 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.