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JD
CFP
JD
CFP

James Dawson

Rothschild Investment
12 Years of Experience
Oakbrook, IL
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Dawson is a CFP-designated registered investment advisor at Rothschild Investment, based in Oakbrook, IL, with 12 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 Business Owners, Corporate Executives, Estate Planning, High Net Worth, and 3 more. Their firm serves 1,246 clients with $2.8B in assets under management.

Rothschild Investment
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
31 advisors
Number of Clients
1,246 clients
Average Client Portfolio
$2.2M average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $3.0M1.25%
$3.0M - $7.0M1.00%
$7.0M - $15.0M0.75%
$15M+0.50%

Fees are negotiable and generally based on the size and complexity of the client relationship. The firm may group related client accounts for householding breakpoints.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

700 Commerce Drive, Suite 170, Oakbrook, IL, 60523

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James is a licensed insurance agent with Money Managers Insurance Services since 2021. He is also a wealth advisor with Rothschild Wealth LLC since 2019 and a registered representative with Rothschild Investment LLC since April 2024.

Employment History
Current Registrations
Rothschild Investment LLCBroker
April 2024 - Present · 2 yrs 6 mos
Rothschild Wealth LLC
December 2019 - Present · 6 yrs 10 mos
Previous Registrations
Halo Securities, LLCBroker
December 2019 - August 2023 · 3 yrs 8 mos
Charles Schwab & CO., INC.
April 2015 - December 2019 · 4 yrs 8 mos
Charles Schwab & CO., INC.Broker
June 2014 - December 2019 · 5 yrs 6 mos
State Registrations3 states
ILNCTX
AdvisorBrokerBoth

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
No exam information available for this advisor.
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