James Tafel is a registered investment advisor at Thompson Siegel & Walmsley LLC, based in Richmond, VA, with 6 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 302 clients with $21B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TSW charges a percentage-based fee annually for investment advisory services, based on the value of your investments. The exact fee varies depending on the specific investment strategy and the amount you invest. Fees are negotiable and can vary based on factors like the amount of assets managed and the complexity of your situation. TSW requires a minimum asset amount of $1,000,000 for a new high-net-worth client account. Minimum asset requirements for separately managed institutional accounts are $10,000,000, with International strategies requiring $50,000,000.
Location
6641 West Broad Street, Suite 600, Richmond, VA, 23230
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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.
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James is involved with several organizations, including professional associations (CMT and CAIA), educational institutions (University of Richmond and St. Catherine's School), a recreational club, and a religious institution. He dedicates minimal time to each of these activities.
Employment History
Current Registrations
Thompson Siegel & Walmsley LLC
Previous Registrations
Funds Distributor, LLCBroker
State Registrations1 state
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