James Uren
James Uren is a CFP-designated registered investment advisor at Phase III Advisory Services, LTD, based in Buffalo Grove, IL, with 24 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, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 366 clients with $160M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Phase III Advisory Services offers investment management through several programs: Advisor Managed Portfolios, Unified Managed Account Program, Tactical Allocation Service, and Fund Allocation Service. Fees vary depending on the program and the amount invested.
For Private Management Accounts and UMA Portfolios, the maximum annual fee is:
- 1.90% on the first $249,999
- 1.70% on amounts between $250,000 and $499,999
- 1.45% on amounts between $500,000 and $749,999
- 1.20% on amounts between $750,000 and $1,249,999
- 1.00% on amounts above $1,250,000
For Fund Allocation Service, Tactical Allocation, and Advisor Managed Portfolios, the maximum annual fee is:
- 1.40% on the first $99,999
- 1.15% on amounts between $100,000 and $249,999
- 1.00% on amounts between $250,000 and $499,999
- 0.90% on amounts between $500,000 and $749,999
- 0.80% on amounts between $750,000 and $1,249,999
- 0.75% on amounts above $1,250,000
Fees are negotiable. Accounts valued at less than $100,000 will not participate in a wrap program fee.
Location
1110 W. Lake Cook Road, Suite 265, Buffalo Grove, IL, 60089
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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 provides financial planning and investment advisory services through Phase III Advisory Services, dedicating about half his time. He also recommends and sells insurance products through Phase III Advisory Services, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
Phase III Advisory Services, LTD
Osaic Wealth, INC.Broker
Previous Registrations
Royal Alliance Associates, INC.
State Registrations22 states
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