Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 66
Experience Industry experience
25 years
Location
Henrico, VA
CEF Advisors
Supported
John Scott is a financial advisor at CEF Advisors with 25 years of industry experience. He holds a Series 66 designation and has been with CEF Advisors since 2001. CEF Advisors manages separate accounts for individuals, including high-net-worth households, and institutional clients, focusing on listed closed-end funds and business development companies. The firm uses a blend of fundamental research and technical analysis to select funds, emphasizing discounts to net asset value and dividend coverage, and operates a paid data and research service alongside limited consulting tied to closed-end fund strategy.
Based on CEF Advisors
Based on CEF Advisors
$50,001 - $100,000: 2.25% $0 - $50,000: 2.50% $100,001 - $500,000: 2.00% $500,001 - $1,000,000: 1.75% $1,000,001 - $1,999,999: 1.25% $2,000,000 - $5,000,000: 1.00% $5,000,001 - $10,000,000: 0.85% $10,000,001+: 0.65% $3,500,000 - $5,000,000: 0.50% $5,000,001+: 0.39%
John Cole Scott individual investor consulting rate $535/hour; institutional consulting rate $825/hour; Dan Silver $350/hour individual; $495/hour institutional; data manager $100/hour; data analysts $50/hour
Subscription fees for CEFA’s Closed-End Fund Universe range from $5,000 to $50,000 per year depending on subscriber type, typically paid semi-annually or annually in advance; annual subscription fees range from $20,900 to $37,500 depending on subscriber type
Account minimum: $2,500,000 per household (general minimum), $4,500,000 for municipal bond models; smaller accounts may be accepted if combined with other household or family assets or negotiated by senior management Minimum fee: Minimum quarterly fee of $2,500 for Municipal Models Client Billing Fee-only: Consulting fees with institutional clients minimum $5,000 per quarter for up to 20 hours; individual investor fees $1,750 per quarter for 6 hours; hourly consulting rates between $50 and $825 depending on personnel and client type; consulting fees can be waived or reduced
Henrico, VA
Henrico VA
Advisors at this office
1
Virginia
25 years of industry experience
Closed-End Fund Advisors
2001 - Present • 25 years
Richmond, VA
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A client's investment-related complaint, arbitration or lawsuit, including ones that were denied, withdrawn or settled.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Verified by Warmer
Series 66, Series 7
Glen Allen, VA
LPL Enterprise
Daniel Egan is a financial advisor at LPL Enterprise with a Series 66 designation and one year of industry experience. Prior to joining LPL Enterprise, he has been professionally involved as a musician, performing as a trumpet player with several orchestras including the Richmond Symphony Orchestra and the Houston Symphony. He also teaches music at the National Music Festival. LPL Enterprise serves a diverse client base including individuals, retirement plans, charitable organizations, corporations, and institutional clients through advisory and brokerage channels. The firm offers financial planning, access to model wealth portfolios, third-party asset management, and a range of brokerage and insurance products.
CFP®, Series 63, Series 65
Glen Allen, VA
Advisor Financial Services, Inc.
David Luck is a CFP® professional with eight years of industry experience and is the sole advisor at Advisor Financial Services, Inc. He has been with the firm since 1995 and concurrently operates Luck & Company CPA PLLC, providing tax and accounting services to individuals and small businesses. Advisor Financial Services, Inc. is an independent SEC-registered investment adviser serving individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm uses long-term, diversified strategies tailored to client goals and risk tolerance, supported by a technology-driven platform that integrates portfolio management with tax and accounting services.
Series 63, Series 66
Mechanicsville, VA
Rise Wealth Partners LLC
Michael Greer is a financial advisor at Rise Wealth Partners LLC with 19 years of industry experience. His work history includes roles at Modern Capital Advisors, LLC, and Edward Jones, as well as operating Greer Financial Group, LLC. Outside of advisory work, he is involved in managing American Family Bio-Clean LLC and its franchise operations. Rise Wealth Partners LLC provides discretionary portfolio management and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm employs model portfolios from third-party sub-advisers and offers asset-allocation review for held-away retirement plan assets, with investment advice tailored to client objectives and risk tolerance.
Series 63, Series 65
Richmond, VA
J. B. Bryan Financial Group, Inc.
Jb Bryan is the principal of J. B. Bryan Financial Group, Inc., an independent advisory firm based in Richmond, VA. He holds Series 63 and Series 65 licenses and has 23 years of industry experience. Bryan has led his firm since 1995 and is also a licensed insurance agent for life, health, and property and casualty insurance. J. B. Bryan Financial Group serves a limited client roster that includes individuals, high-net-worth clients, trusts, corporate pension and profit-sharing plans, charitable organizations, and small businesses. The firm offers comprehensive financial planning, consulting, portfolio management, and insurance products, delivering non-discretionary advisory services combined with written plans and tailored recommendations.
Series 63, Series 65
Richmond, VA
Fifth Pointe
James Thornton Jr. is a financial advisor at Fifth Pointe with Series 63 and Series 65 licenses and three years of industry experience. His prior roles include positions at Rocket Mortgage, Capital One, and Money Concepts Capital Corp. Outside of advisory services, he owns and operates an insurance agency offering property, casualty, and health insurance products. Fifth Pointe provides financial planning, consulting, portfolio management, and algorithm-driven robo-advisory services to a diverse client base, including individuals, high-net-worth clients, trusts, estates, and institutional entities. The firm combines traditional advisory services with affiliated insurance and mortgage offerings, seminars, and pension consulting.
Series 65
Richmond, VA
Jay Blue Capital
Nathaniel Jackson is the sole advisor at Jay Blue Capital and holds a Series 65 designation. He has 11 years of experience working at The Collegiate School. Jay Blue Capital, LLC is a newly registered investment adviser that provides discretionary and non-discretionary portfolio management and investment advice to individuals and business entities. The firm uses Modern Portfolio Theory and the Capital Asset Pricing Model, combining fundamental and technical analysis to manage portfolios across four risk-based strategies, including an options-based Aggressive Growth strategy.
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