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James Clark

Worth Asset Management
42 Years of Experience
Dallas, TX
8 DisclosuresSells Insurance
View SEC Summary
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James Clark is a registered investment advisor at Worth Asset Management, based in Dallas, TX, with 42 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, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 333 clients with $290M in assets under management.

Worth Asset Management
Compensation
Fee-Only (% of Portfolio)
Firm Size
10 advisors
Number of Clients
333 clients
Average Client Portfolio
$865K average
Assets Under Management
$288.2M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$300

Worth Asset Management's investment management fees are calculated as a percentage of the value of your account, either at a fixed annual rate or a floating annual rate, and are billed monthly.

Fixed Annual Rate:

  • 0.80% to 1.5%

Floating Annual Rate:

  • $0 - $250k: 1.25%
  • $250k - $1m: 1%
  • $1m - $2m: 0.90%
  • $2m - $3m: 0.80%
  • $3m - $4m: 0.70%
  • $4m+: Dependent on services offered

There is a $300 minimum annual fee. Fees are negotiable based on factors such as the amount of assets being managed and the level of service.

View Full SEC Brochure

Location

17855 Dallas Parkway, Suite 150, Dallas, TX, 75287

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2019
Settled
Customer Dispute
April 2018
Settled
Customer Dispute
September 2012
Award / Judgment
Regulatory
January 2006
Final
Regulatory
January 2004
Final
Regulatory
June 1993
Final
Customer Dispute
May 1989
Award / Judgment
Regulatory
March 1988
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an independent insurance agent since 1985, marketing and selling traditional insurance, life, and annuities, dedicating a few hours per week. He is also President, Owner, Registered Representative, and Investment Advisor Agent at Worth Financial Group, spending nearly full-time on management, supervision, and sales.

Employment History
Current Registrations
Worth Asset Management
June 2013 - Present · 12 yrs 10 mos
Previous Registrations
Mowery Capital Management, LLC
June 2014 - September 2016 · 2 yrs 3 mos
Worth Financial Group INC.
July 2007 - December 2020 · 13 yrs 5 mos
Mowery Capital Management, LLC
October 2006 - November 2013 · 7 yrs 1 mo
Oxford Advisors Corporation
March 2003 - December 2004 · 1 yr 9 mos
Worth Financial Group INC.Broker
May 2001 - December 2020 · 19 yrs 7 mos
Oxford Financial GroupBroker
December 1999 - December 2003 · 4 yrs
Oxford Advisors Corporation
December 1999 - December 2002 · 3 yrs
Rushmore Securities CorporationBroker
May 1991 - November 1999 · 8 yrs 6 mos
Accredited Investors CO.Broker
March 1986 - August 1999 · 13 yrs 5 mos
Anspacher Securities, INC.Broker
June 1985 - April 1986 · 10 mos
Pbs Securities, INC.Broker
November 1984 - May 1985 · 6 mos
Texas Securities, INC.Broker
January 1984 - November 1984 · 10 mos
State Registrations2 states
FLTX
Advisor

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.

Exams
No exam information available for this advisor.
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