James Morgan Asset Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
This small, single-advisor firm serves individual and high-net-worth clients with discretionary portfolio management and comprehensive financial planning, including retirement, estate, tax, and business-planning advice. It generally charges percentage-of-AUM fees for portfolio management and offers fixed- or hourly-fee financial planning engagements.
The firm constructs individualized investment policies and manages portfolios to match client objectives, risk tolerance, and liquidity needs, exercising discretionary authority under a limited power of attorney. Its investment analysis blends fundamental, technical, cyclical and charting methods and may include active strategies using stocks, bonds, mutual funds, ETFs and options, with attendant risks such as higher turnover and concentration.
What is distinctive about the firm is an affiliation with an estate, business and tax law practice: the firm’s principal also practices law and the advisory practice may refer clients to that affiliated law firm for tax and estate legal services. That arrangement creates a potential conflict of interest that the firm discloses and intends to mitigate by maintaining fiduciary obligations, allowing clients to choose other providers, and documenting client consent for any referrals.
Client services
Expertise
Fee options
Financial planning fixed fee between $1,500 and $3,500 (negotiable)
$0 - $100,000: 1.50% $100,001 - $250,000: 1.25% $250,001 - $1,000,000: 1.00% $1,000,001+: Negotiable
$250.00 per hour (special circumstances for financial planning); $175.00 per hour (early termination billing rate)
Main office
390 Interlocken Crescent Suite 350
Broomfield CO 80021
Advisors at this office
1
Most active in
Colorado
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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