James Casey is a CFP-designated registered investment advisor at Rockefeller Capital Management, based in Phoenix, AZ, with 15 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, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.
Fee Estimator
Location
Phoenix, AZ
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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 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 LLCBroker
Rockefeller Financial LLC
Previous Registrations
Distribution Services, LLCBroker
Smead Capital Management, INC.
Alps Distributors, INC.Broker
Guggenheim Investments
Guggenheim Funds Distributors, LLCBroker
Nuveen Asset Management, LLC
Nuveen Securities, LLCBroker
Franklin/templeton Distributors, INC.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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