James Casey is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Phoenix, AZ, with 14 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. Their firm serves 35,950 clients with $70B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Rockefeller Financial offers investment advisory services for a fee, either as a flat annual dollar amount or as a percentage of the value of your portfolio. The specific fee will depend on the type of advisory service you receive and will be agreed upon with your advisor. The fees you pay may differ from those paid by other clients, based on factors like the scope and size of your relationship, the complexity of your needs, and your advisor's approach.
Location
Phoenix, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James works as Vice President of Sales at Smead Capital Management, consulting with financial advisors and their clients on the Smead Value strategy. This is a full-time commitment and occurs during securities trading hours.
Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Financial LLC
Rockefeller Financial LLCBroker
Previous Registrations
Distribution Services, LLCBroker
Smead Capital Management, INC.
Alps Distributors, INC.Broker
Guggenheim Funds Distributors, LLCBroker
Guggenheim Investments
Nuveen Asset Management, LLC
Nuveen Securities, LLCBroker
Franklin/templeton Distributors, INC.Broker
State Registrations1 state
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