James Ugone is a registered investment advisor at Novem Group, based in Topsfield, MA, with 30 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,653 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.50% |
| $250K - $500K | 2.25% |
| $500K - $1.0M | 2.00% |
| $1.0M - $5.0M | 1.75% |
| $5M+ | 1.50% |
Fees are negotiable depending on client needs and complexity.
Fee Estimator
Location
7 Grove Street Suite 301, Topsfield, MA, 01983
Get directionsHistory
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 investment adviser representative at Novem Group, dedicating nearly full-time hours to this role. He is also the owner of Topsfield Financial Group and a licensed insurance agent, selling occasional insurance products and spending minimal time on this activity.
Employment History
Current Registrations
Novem Group
Previous Registrations
Osaic Wealth, INC.Broker
American Portfolios Advisors, INC
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Commonwealth Financial NetworkBroker
State Registrations17 states
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.