James Franke is a registered investment advisor at Rothschild Investment, based in Chicago, IL, with 22 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, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 1,047 clients with $2.3B 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 $3.0M | 1.25% |
| $3.0M - $7.0M | 1.00% |
| $7.0M - $15.0M | 0.75% |
| $15M+ | 0.50% |
Fees may be negotiable.
Fee Estimator
Location
311 S. Wacker Drive, Suite 5900, Chicago, IL, 60606-6618
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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 →Employment History
Current Registrations
Rothschild Investment LLCBroker
Rothschild Investment
Previous Registrations
Robert W. Baird & CO. Incorporated
Robert W. Baird & CO. IncorporatedBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations22 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.