James Keller
James Keller is a registered investment advisor at Roland Financial Wealth Management LLC, based in Erie, PA, 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 Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 342 clients with $69M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Roland Financial Wealth Management charges an annual fee based on the specific investment portfolio chosen. The fees are:
- Income Conservative: 1.00%
- Income: 1.50%
- Balanced: 1.75%
- Growth: 1.75%
- Tactical: 2.00%
These fees are deducted monthly, based on the average daily balance of the account. The annual fee may be negotiable. If RFWM uses sub-advisors, clients will not pay additional fees.
Location
3910 Caughey Rd, Suite 140, Erie, PA, 16506
Get directionsHistory
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 ActivitiesSells Insurance
James is involved in insurance sales and services through Roland Financial, dedicating nearly full-time hours to this activity. This includes insurance sales and services.
Employment History
Current Registrations
Roland Financial Wealth Management LLC
Previous Registrations
Ae Wealth Management, LLC
TD Ameritrade, INC.
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.Broker
Oneamerica Securities, INC.Broker
Oneamerica Securities, INC.
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
AXA Advisors, LLCBroker
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.