James Gates
James Gates is a registered investment advisor at Superior Planning Wealth Management & Family Office, based in Carpinteria, CA, with 28 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 335 clients with $190M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable and may be lower than 2%. A $10,000 annual minimum fee generally applies.
Fee Estimator
Location
6187 Carpinteria Avenue, Carpinteria, CA, 93013
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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 agent/owner at Gates Financial Services, Inc. since 2017, where he sells insurance and securities, provides services, and prepares taxes, dedicating about a quarter of his time. He is also a financial advisor at Superior Planning Financial Solutions, selling securities and insurance, and owns/is a member of two holding companies for commercial real estate.
Employment History
Current Registrations
Superior Planning Wealth Management & Family Office
Planmember Securities Corporation
Planmember Securities CorporationBroker
Previous Registrations
Royal Alliance Associates, INC.Broker
Legend Advisory CORP
Legend Equities CorporationBroker
Lincoln Investment Planning, INC
Lincoln Investment Planning, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Pim Financial Services, INC.Broker
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.