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PALADIN RESEARCH REPORT FOR:

James Liotta

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Telephone Advisor
310.469.7254

I. Snapshot

A. Registry Member
  • Since 2015
B. Years of Experience
  • 15
C. College Degrees
  • University of Southern California Marshall School of Business - MBA, Finance
  • University of Southern California Marshall School of Business - Graduate Certificate in Financial Analysis and Valuation
  • Northeastern University - BS
  • College for Financial Planning - CFP Certification Professional Education Program
D. Certifications
  • CFP®, NSSA, AIF®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    I help my clients plan and invest to achieve their lifestyle goals, family needs and future aspirations. My process is designed to accommodate your needs by understanding your current situation, your future, your feelings, and your family dynamics. I understand that client needs change over time, and they need a process that accommodates their evolving circumstances.

G. Asset Requirement
  • $500,000

II. Contact Information

A. Key Contact
  • James Liotta
B. Main Location
  • 315 South Beverly Drive
    Suite 310
    Beverly Hills, California, 90212
C. Telephone
  • 310.469.7254

III. Internet

B. Social Connections
C. View Articles

IV. Firm(s)

A. Name of Firm
  • Prominence Capital
B. Relationship to Firm
  • Owner
C. Name of RIA
  • Prominence Capital GP, LLC.
D. Name of Broker/Dealer
  • None
E. Name(s) of Custodian(s)
  • TD Ameritrade Institutional

V. Credentials

A. Years of Financial Experience
  • 15 Years
B. College, Degrees, Years
  • University of Southern California Marshall School of Business - MBA, Finance
  • University of Southern California Marshall School of Business - Graduate Certificate in Financial Analysis and Valuation
  • Northeastern University - BS
  • College for Financial Planning - CFP Certification Professional Education Program
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association
  • Investment Management Consultants Association

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • RIA
B. Type of RIA Registration
  • State - California
C. Industry Licenses
  • Securities License(s)
D. Registration & License Numbers
  • CRD: 4493058
  • IARD: 165595
  • Insurance: None
E. State Licences
  • Financial Advice, Services for Fees: California
  • Investment Products for Commission: California
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • None
J. View our ADV(s)
  • Available Upon Request
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    I help my clients plan and invest to achieve their lifestyle goals, family needs and future aspirations. My process is designed to accommodate your needs by understanding your current situation, your future, your feelings, and your family dynamics. I understand that client needs change over time, and they need a process that accommodates their evolving circumstances.

B. Minimum Asset Requirement
  • $500,000
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    I believe that making a decision on the advisor/client relationship should be based on conversation and exploration between advisor and client where both mutually agree on working together. Focusing on if the right business arrangement can be made instead of minimum account size as the base of a relationship starts things off correctly. Remembering that there are people behind the numbers on both sides of the relationship is a focus for exploring if a proper fit exists when working with us.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • James Liotta
Most Recent Update:
  • Sep 27, 2017

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