Higley, James, W. (West Orange)

Higley, James, W. is a large advisory firm based in West Orange. It manages $111 million of regulatory assets for 50 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of New Jersey and Pennsylvania.

Higley, James, W provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Higley, James, W: assets under management

The assets under management (AUM) of Higley, James, W. is $111 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in exchange traded securities the most. They account for 65% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 20% of the firm’s portfolio. Investments in state and local bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Higley, James, W. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Higley, James, W serves?

The only and largest group of clients of Higley, James, W is high net worth individuals with 50 clients and $111 million of assets under management. Among the 5 most similar advisory firms, Higley, James, W has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $111 million for 50 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Higley, James, W doesn't advise any private funds.

Careers at Higley, James, W.

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Wade Higley	Principal/chief compliance officer	1 Jul 1994	75% - 100%	1183904

Based in West Orange

The principal office where Higley, James, W. performs its advisory services is located at 6 Himsl Court, West Orange, NJ 07052 The mailing address of the firm is 6 Himsl Court, West Orange, NJ 07052. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 973-539-2855 or by fax 973-539-2855. The normal business hours are 9:00am - 6:00pm on Monday - Friday.