James Pfeil
James Pfeil is a registered investment advisor at Harbour Investments, INC., based in Elkhorn, WI, with 12 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 22,917 clients with $7.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Harbour Investments offers investment management through wrap-fee programs where fees are calculated as a percentage of the value of your portfolio, up to a maximum of 2.0%. The specific fee is negotiated with your advisor and subject to Harbour's approval. Fees may be waived for periods after a commission is generated. Accounts under $25,000 may have higher service fees. Harbour also offers a directly-managed held-away program where fees are assessed and billed quarterly.
Location
501 Nathan Lane, #4, Elkhorn, WI, 53121
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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 ActivitiesSells Insurance
James is an insurance advisor at Sierra Financial Services since 2018, dedicating about a quarter of his time to fixed annuities, life, disability, LTC, and Medicare plans. He is also an independent insurance agent who may sell equity indexed annuities.
Employment History
Current Registrations
Harbour Investments, INC.Broker
Harbour Investments, INC.
Previous Registrations
Calton & Associates, INC.
Calton & Associates, INC.Broker
Capital Financial Services, INC.Broker
Capital Financial Services, INC.
Thrivent Investment Management INC.
Thrivent Investment Management INC.Broker
State Registrations10 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.