James Locke
James Locke is a registered investment advisor at Sound Income Strategies, LLC, based in Wilmington, DE, with 8 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning. Their firm serves 24,757 clients with $4.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sound Income Strategies (SIS) manages investment portfolios for a fee based on the value of your portfolio. The annual fee can be up to 1.75% of the value of your portfolio. For a limited group of clients with special needs, the fee can be up to 2.0%. The fee is usually billed monthly, but can be negotiated to be billed quarterly. If SIS uses a third-party investment manager for part of your portfolio, you won't pay any extra fees.
Location
1521 Concord Pike, Suite 103 West, Wilmington, DE, 19803
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 with Poole Locke Associates, LLC, focusing on fixed insurance sales, which takes about half of his time. He is also a franchise owner and DBA for The Retirement Income Source, marketing fixed insurance and investment advisory services, but this takes minimal time.
Employment History
Current Registrations
Sound Income Strategies, LLC
Previous Registrations
Bfc Planning, INC.
Bfc Planning, INC.
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.