David William James

Lone Peak Advisers

41 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingBusiness Owners

Lone Peak Advisers

Compensation

Fee-Only (AUM)

Firm Size

7 advisors

Number of Clients

718 clients

Average Client Portfolio

$166K average

Assets Under Management

$119.0M

Fee Structure

Location

11650 South State Street, Suite 200, Draper, UT, 84020-7150

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History

Regulatory History (3)

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.

Employment Separation After Allegations

October 2003

Employment Separation After Allegations

November 2001

Employment Separation After Allegations

June 1996

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

David is a mortgage loan originator, a member/manager of David WM. James LLC (for tax purposes and ownership of other LLCs), registered agent for Traditional Broker Insurance Agency, an insurance agent, and manager/COO of Lone Peak Advisers, LLC. He dedicates minimal time to mortgage origination and the insurance agency, and about full-time to Lone Peak Advisers.

Employment History

Current Registrations

Lone Peak Advisers

April 2023 - Present · 2 yrs 10 mos

Transitional Broker LLCBroker

May 2020 - Present · 5 yrs 9 mos

Previous Registrations

Lone Peak Advisers

September 2018 - December 2022 · 4 yrs 3 mos

Lone Peak Capital Management, LLC

January 2017 - March 2021 · 4 yrs 2 mos

H. Beck, INC.Broker

March 2008 - June 2018 · 10 yrs 3 mos

Legacy Planning Group

February 2008 - December 2018 · 10 yrs 10 mos

Gunnallen Financial, INCBroker

October 2007 - April 2008 · 6 mos

Investment Management Corporation

October 2003 - December 2007 · 4 yrs 2 mos

Investment Management CorporationBroker

October 2003 - December 2007 · 4 yrs 2 mos

Eagle Gate Securities,inc.

May 2003 - November 2003 · 6 mos

Eagle Gate Securities, INC.Broker

December 2001 - November 2003 · 1 yr 11 mos

UBS Painewebber INC.Broker

July 1996 - December 2001 · 5 yrs 5 mos

Piper Jaffray INC.Broker

October 1986 - June 1996 · 9 yrs 8 mos

Dean Witter Reynolds INC.Broker

February 1984 - October 1986 · 2 yrs 8 mos

State Registrations24 states

ALAZCACOFLIAIDINMNMONCNDNJNYOHORPATNTXUTVAWAWIWV

AdvisorBrokerBoth

Exams

No exam information available for this advisor.