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James Lister

Shepherd Financial Partners, LLC
19 Years of Experience
Boston, MA
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Lister is a registered investment advisor at Shepherd Financial Partners, LLC, based in Boston, MA, with 19 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Corporate Executives, Estate Planning, and 6 more. Their firm serves 767 clients with $1.4B in assets under management.

Shepherd Financial Partners, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
767 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$1.4B

Fee Structure

Planning is included in investment management

Shepherd Financial Partners charges an annual investment management fee based on a percentage of your portfolio. The exact rate varies depending on the size of your portfolio, the complexity of your situation, and the level of financial planning required:

  • Non-wrap fee accounts typically cost up to 1.25% of your portfolio annually.
  • Wrap fee program accounts (which bundle investment management, trade execution, and custody) typically cost up to 1.30% of your portfolio annually.

Fees are calculated and deducted from your account quarterly in advance.

View Full SEC Brochure

Location

197 8th Street, Suite 2000, Boston, MA, 02129

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James owns rental real estate properties and provides investment advisory services through Shepherd Financial Partners, dedicating about a quarter of his time to the latter. He also sells life insurance or fixed annuities, spending a few hours per week on this activity.

Employment History
Current Registrations
Shepherd Financial Partners, LLC
April 2016 - Present · 10 yrs 6 mos
LPL Financial LLCBroker
January 2011 - Present · 15 yrs 9 mos
Previous Registrations
LPL Financial LLC
April 2011 - September 2016 · 5 yrs 5 mos
First Investors CorporationBroker
September 2007 - January 2011 · 3 yrs 4 mos
State Registrations7 states
DCFLMAMENCNHTX
AdvisorBrokerBoth

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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