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James Peters

Bfc Planning, INC.
16 Years of Experience
North Mankato, MN
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Peters is a registered investment advisor at Bfc Planning, INC., based in North Mankato, MN, with 16 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, Annuities, Education Planning, Estate Planning, and 7 more. Their firm serves 11,448 clients with $3.8B in assets under management.

Bfc Planning, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
231 advisors
Number of Clients
11,448 clients
Average Client Portfolio
$336K average
Assets Under Management
$3.8B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum allowable annual fee is 2.5% across most asset management programs. Actual fees are negotiable and vary by representative and platform. Specific sub-adviser and program fees apply depending on the chosen platform.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1445 Lookout Dr, North Mankato, MN, 56003

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2019
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James works as a financial professional selling securities and insurance through Investment Management & Associates, essentially full-time. He also sells fixed insurance products, dedicating minimal time, and is involved in several other activities including alumni advisory, real estate management, family partnership advising, and a role with the American Legion.

Employment History
Current Registrations
Berthel, Fisher & Company Financial Services, INC.Broker
May 2024 - Present · 2 yrs 5 mos
Bfc Planning, INC.
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Securities America Advisors, INC.
November 2017 - June 2024 · 6 yrs 7 mos
Securities America, INC.Broker
November 2017 - June 2024 · 6 yrs 7 mos
Sii Investments, INC.
July 2015 - November 2017 · 2 yrs 4 mos
Sii Investments, INC.Broker
July 2015 - November 2017 · 2 yrs 4 mos
Ameriprise Financial Services, INC.
December 2013 - August 2015 · 1 yr 8 mos
Ameriprise Financial Services, INC.Broker
December 2009 - August 2015 · 5 yrs 8 mos
State Registrations12 states
AZCACOFLIAMDMNMOSCSDVAWI
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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