James Heavey
James Heavey is a registered investment advisor at James Heavey Wealth Advisors, LLC, based in Rockport, ME, 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 Financial Planning & Coaching, Investment Management. Their firm serves 153 clients with $11M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $4.0M | 0.50% |
| $4.0M - $8.0M | 0.40% |
| $8M+ | 0.40% |
Advisory fees are negotiable at the firm's sole discretion.
Fee Estimator
Location
Rockport, ME
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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 sells insurance policies, dedicating a few hours per week to this non-investment related activity since 2011.
Employment History
Current Registrations
James Heavey Wealth Advisors, LLC
Previous Registrations
Foresters Equity Services, INC.
Foresters Equity Services, INC.Broker
Signator Investors, INC.
Signator Investors, INC.Broker
Waddell & Reed, INC.Broker
Waddell & Reed, INC.
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.