James Brecher
James Brecher is a registered investment advisor at First Trust Advisors LP, based in Wheaton, IL, with 17 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 5,033 clients with $260B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
First Trust Advisors (FTA) provides investment advice through separately managed accounts (SMAs). The fees for these services are listed in the FTA Fee Schedule. These fees do not include custody, trade execution, or other account service fees. Clients may also indirectly bear the expenses of funds their SMAs invest in. The advisory fees are assessed quarterly, generally in advance, but may be assessed in arrears for certain wrap programs. Refunds are prorated if an SMA is closed before the end of a quarter, but may not be refunded if closed in the last 30 days of a quarter.
Location
120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187
Get directionsHistory
Regulatory History (1)
Criminal
November 2002Other Business Activities
James coaches soccer for Loan Star Soccer, involving 2-4 practices a week and 1-2 games on weekends. This activity takes about 10-20% of his time and is not investment-related.
Employment History
Current Registrations
First Trust Advisors LP
First Trust Portfolios L.P.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Fidelity Investments Institutional Services Company, INC.Broker
Vanguard Marketing CorporationBroker
State Registrations2 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.