James Matthews
James Matthews is a registered investment advisor at Osaic Institutions, INC., based in Santa Fe, TX, with 3 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
12402 Hwy 6, Santa Fe, TX, 77510
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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 sells life, health, disability, and fixed annuities as an insurance agent, dedicating full-time hours to this. He also works as a financial professional for Burrows Capital Advisors full-time, is part owner of Matthews, Inc. (automotive) dedicating minimal time, and is Vice President & Consultant for Burrows Business Services, LLC DBA BFH Tax, LLC, spending about 10-20% of his time on tax and accounting services.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Cetera Advisors LLC
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Morgan Stanley
Morgan StanleyBroker
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.