James Waters
James Waters is a CFA-designated registered investment advisor at Rockefeller Capital Management, based in Charlotte, NC, with 11 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
5605 Carnegie Blvd., Suite 220, Charlotte, NC, 28209
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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 is a sole proprietor/owner of HighStreet Partners since August 2018 and a partner at PIMCA, Inc. since April 2021 and PIMCA Raleigh, LLC since December 2022. These activities are investment-related and require minimal time commitment.
Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Financial LLCBroker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Questar Asset Management, INC.
Questar Capital CorporationBroker
Global Alternative Investment Services, INC.Broker
Columbia Management Investment Distributors, INC.Broker
Columbia Management Investment Advisers, LLC
State Registrations36 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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