Leon James
Leon James is a CFP-designated registered investment advisor at Tucker Asset Management LLC, based in San Juan Capistrano, CA, with 38 years of industry experience. Leon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 2,960 clients with $600M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TAM charges a percentage of your portfolio each year, not to exceed 2.00%. The specific rate is determined on a client-by-client basis, considering factors like complexity and assets under management. For accounts over $10,000, TAM also charges an administrative and technology fee of up to $100 per account annually, billed monthly. Fees are billed monthly in arrears based on the average daily balance. TAM may aggregate asset amounts in accounts from your same household together to determine the advisory fee for all your accounts.
Location
27131 Calle Arroyo, Suite 1722, San Juan Capistrano, CA, 92675
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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
Leon is the Senior Managing Director at Optivest Retirement Strategies, LLC, a private money management firm. He is also an insurance agent with licenses in Accident & Health, Life, and Variable Contracts, though the time commitment is unspecified.
Employment History
Current Registrations
Tucker Asset Management LLC
Previous Registrations
Optivest, INC.
Gramercy Securities, INC.Broker
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Rydex Distributors, INC.Broker
Anchor Capital
Crown Capital Securities, L.P.Broker
Mutual Service CorporationBroker
Titan/value Equities Group, INC.Broker
Walnut Street Securities, INC.Broker
Walnut Street Securities, INC.Broker
Financial Advisory Clinic Investments, INC.Broker
Mutual Benefit Financial Service 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.