James Schmidt is a PFS-designated registered investment advisor at Tribeca Financial, LLC, based in Mesa, AZ, with 10 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, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 243 clients with $200M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Tribeca Financial charges an annual fee for investment management services, calculated as a percentage of the assets they manage. This fee is negotiated with the client and can be a flat fee between 0.15% and 1.25% or based on a blended fee schedule:
- Up to $1,000,000: 1.55%
- Next $1,000,000: 0.90%
- Next $1,000,000: 0.80%
- Over $3,000,000: 0.30%
Location
2812 N. Norwalk, Ste 103, Mesa, AZ, 85215
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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.
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James is a member manager of 77 West, LLC, leasing commercial property, and SW Wealthcare Services, LLC, providing lead generation services, dedicating minimal time to each. He also serves as corporate secretary for Decker & Co Inc., owned by his brother-in-law, spending minimal time annually.
Employment History
Current Registrations
Tribeca Financial, LLC
Previous Registrations
1st Global Advisors INC
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.