James Conner
James Conner is a registered investment advisor at Tcw Investment Management Company LLC, based in Los Angeles, CA, with 9 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 High Net Worth, Investment Management. Their firm serves 4,945 clients with $39B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fee schedules vary widely by individual strategy. For example, individual high net worth equity strategies typically charge a flat 1.00% on all assets, while fixed income strategies range from 0.20% to 0.50% on initial tiers. Certain mutual funds and ETFs have lower fees ranging from 0.05% to 0.90%. Fees are generally negotiable.
Fee Estimator
Location
515 South Flower Street, Los Angeles, CA, 90071
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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 →Employment History
Current Registrations
Tcw Investment Management Company LLC
Tcw Funds Distributors LLC
Tcw Funds Distributors LLCBroker
Previous Registrations
Natixis Advisors, LLC
Natixis Distribution, LLCBroker
Mercap Securities, LLCBroker
Blackrock Investment Management, LLC
Blackrock Investments, LLCBroker
Comprehensive Asset Management and Servicing, INC.Broker
State Registrations9 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.
Exams
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