James Spies
James Spies is a registered investment advisor at Osaic Wealth, INC., based in Hunt Valley, MD, with 16 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
307 International Circle, Suite 390, Hunt Valley, MD, 21030
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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 is an insurance agent at Heritage Financial Consultants, selling various insurance products, dedicating about 10-20% of his time to this role. He is also an owner of Makers House, LLC (a brewery business) and JLS3 LLC (an entity for handling business expenses), spending about a quarter of his time and about half of his time, respectively, on these ventures.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Osaic Fa, INC.
Osaic Fa, INC.Broker
MML Investors Services, LLCBroker
MML Investors Services, LLC
Hornor, Townsend & Kent, INC.
Hornor, Townsend & Kent, INC.Broker
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
State Registrations23 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.