James Humphries is a registered investment advisor at Mindset Asset Management, LLC, based in Indianapolis, IN, with 11 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Annual management fee ranges up to 1% annually, assessed quarterly in advance.
Fee Estimator
Location
8275 Allison Pointe Trail, Suite 230, Indianapolis, IN, 46250
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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
Mindset Asset Management, LLC
Mindset Wealth Management, LLC
Previous Registrations
Mindset Wealth Management, LLC
Sheaff Brock Investment Advisors, LLC
State Registrations6 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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