James Shagawat is a CFP, ChFC-designated registered investment advisor at Mariner Independent, based in Paramus, NJ, with 20 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 3,051 clients with $5.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Mariner Platform Solutions charges an annual fee based on a percentage of your portfolio. This fee can range up to 2.50% per year, depending on the services provided and other factors. The firm may also apply a minimum fee. If you receive financial planning and consulting services in addition to investment advice, you may be subject to an additional fee. Fees are generally billed in advance on a quarterly basis. The management fee is negotiable.
Location
140 East Ridgewood Avenue, Suite 415, South Tower, Paramus, NJ, 07652
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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 composer and receives royalties from the American Society of Composers, Authors and Publishers. This activity takes minimal time and is not investment-related.
Employment History
Current Registrations
Mariner Independent
Previous Registrations
Adviceperiod, LLC
Shagawat Financial Advisors, LLC DBA Windfall Wealth Advisors
Baron Financial Group LLC
Stonegate Wealth Management, LLC
State Registrations2 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.