James Dawson is a CFP-designated registered investment advisor at Rothschild Investment, based in Oakbrook, IL, with 11 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
700 Commerce Drive, Suite 170, Oakbrook, IL, 60523
Get directionsHistory
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 a licensed insurance agent with Money Managers Insurance Services since 2021. He is also a wealth advisor with Rothschild Wealth LLC since 2019 and a registered representative with Rothschild Investment LLC since April 2024.
Employment History
Current Registrations
Rothschild Investment LLCBroker
Rothschild Wealth LLC
Previous Registrations
Halo Securities, LLCBroker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
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.