James Smith
James Smith is a ChFC-designated registered investment advisor at Strategic Advocates, LLC, based in Walnut Creek, CA, with 50 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, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 141 clients with $34M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Strategic Advocates (StratiCo) charges an annual fee based on the value of your investments. This fee typically ranges from 1.00% to 2.00% of your portfolio's value. The exact fee is negotiable and will be outlined in your agreement. The fee is billed monthly or quarterly, either in advance or after the period, depending on your agreement.
Location
Walnut Creek, CA
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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 is an independent insurance agent since 1971, dedicating a few hours per week to insurance sales. He is also an Investment Adviser Representative at Strategic Advocates, LLC, spending full-time hours managing client assets.
Employment History
Current Registrations
Strategic Advocates, LLC
Previous Registrations
Crown Capital Securities, L.P.Broker
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Fsc Securities CorporationBroker
Fsc Securities Corporation
Walnut Street Advisers INC
Walnut Street Securities, INC.Broker
American Investors CompanyBroker
Jefferson Pilot Securities CorporationBroker
O. R. Securities, INC.Broker
Wzw Financial Services, INC.Broker
Wzw Financial Services, INC.Broker
W. S. Griffith & CO., INC.Broker
Planned Investments INC.Broker
Home Life Insurance CompanyBroker
Metropolitan Life Insurance CompanyBroker
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.