James Fox is a registered investment advisor at Financial & Tax Architects, LLC, based in Chicago, IL, 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 Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 1,574 clients with $510M 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 $2.0M | 1.95% |
| $2.0M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.50% |
| $10M+ | 0.30% |
Fees may be negotiable in certain circumstances.
Fee Estimator
Location
1415 West 22nd Street, Regency Towers, Chicago, IL, 60523
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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 Activities
James drives for Uber on weekends and weekday nights after trading hours, dedicating about a quarter of his time to this activity. He will not be working during trading hours.
Employment History
Current Registrations
Financial & Tax Architects, LLC
Previous Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Morgan Stanley
Morgan StanleyBroker
E*trade Securities LLCBroker
E*trade Capital Management, LLC
Fifth Third Securities, INC.Broker
Fifth Third Securities, INC.
TD Ameritrade, INC.Broker
TD Ameritrade, INC.
TD Ameritrade Investment Management, LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
BMO Harris Financial Advisors, INC.Broker
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
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.
Exams
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