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James Wood

Advice and Planning Services
11 Years of Experience
Pittsburgh, PA
1 DisclosureBroker
View SEC Summary
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James Wood is a registered investment advisor at Advice and Planning Services, based in Pittsburgh, PA, 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 Estate Planning, Investment Management, Retirement Planning. Their firm serves 72,503 clients with $38B in assets under management.

Advice and Planning Services
Compensation
Fee-Only (% of Portfolio)
Firm Size
1692 advisors
Number of Clients
72,503 clients
Average Client Portfolio
$523K average
Assets Under Management
$37.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.15%

Rates vary by managed account program. TIAA Portfolio Advisor uses a tiered schedule ranging from 1.15% down to 0.40% annually. Private Asset Management ranges from 0.90% down to 0.40% for blended portfolios plus transaction costs, and 0.15% for fixed income portfolios plus transaction costs.

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

Location

141 South St. Clair Street, Suite 202, Pittsburgh, PA, 15206

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History

Regulatory History (1)
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Customer Dispute
May 2025
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James works at Sterling Jewelers Inc. (Jared the Galleria of Jewelry) as a seasonal employee with simple sales responsibilities since 2006, dedicating minimal time. This activity is not investment-related.

Employment History
Current Registrations
Tiaa-Cref Individual & Institutional Services, LLC
December 2017 - Present · 8 yrs 10 mos
Advice and Planning Services
December 2017 - Present · 8 yrs 10 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
December 2017 - Present · 8 yrs 10 mos
Previous Registrations
TD Ameritrade, INC.
August 2016 - November 2017 · 1 yr 3 mos
TD Ameritrade Investment Management, LLC
August 2016 - November 2017 · 1 yr 3 mos
TD Ameritrade, INC.Broker
August 2016 - November 2017 · 1 yr 3 mos
PNC Investments
July 2014 - June 2015 · 11 mos
PNC InvestmentsBroker
May 2014 - June 2015 · 1 yr 1 mo
State Registrations13 states
AZCADCFLIDMDMNNCOHPATXVAWV
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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