C
CDS James Investments, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$48,626,960
Total clients
75
24% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
75
Average account size
$648,359
About
CDS James Investments provides discretionary and non-discretionary investment management to individuals, high-net-worth families, trusts, estates, charitable organizations, corporations and business entities, managing roughly $48.6 million across about 75 client relationships. Services emphasize portfolio management using mutual funds, ETFs, individual equities and options and are provided on a fee basis tied to assets under management.
The firm combines fundamental and technical analysis to build tailored asset allocations, may employ options strategies and margin in certain circumstances, and manages similarly structured “model” portfolios for clients. Accounts are monitored on an ongoing basis with formal reviews at least quarterly, and clients receive custodian statements plus written or electronic reports that can include inventories and account performance; the adviser generally maintains discretionary trading authority.
Compared with many solo independent advisers, the brochure highlights that CDS James serves institutional-type clients (corporations and business entities) in addition to individuals and has negotiated access to institutional trading and custody services through Trade-PMR and First Clearing. The ADV also discloses the firm’s assets under management and the provision of account performance information in client reports, details that may be less common among peers of similar size and structure.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Concentrated stock management
Fee options
$0 - $250,000: 1.50% $250,001 - $500,000: 1.15% $500,001 - $1,000,000: 0.75% $1,000,001+: 0.50%
Main office location
CDS James Investments, LLC
318 Harrison Ave
New Orleans LA 70124, United States
Number of offices
1
Most active in
CDS James Investments, LLC has reported serving >5 clients in these states in the last 12 months.
Louisiana · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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Lawyer
They provide legal services, typically billed separately.
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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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