James Curtis Enterprises, Inc.
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 169643
· Costa Mesa, CA
· www.jamescurtisenterprises.com
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ADV data as of Mar 25, 2026
- Regulatory AUM
- $99.5M
- Discretionary
- $0
- Clients
- 71
- Avg AUM / client
- $1.4M
- Accounts
- 199
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 42 | $18.4M | 18.5% |
| High net worth individuals | 29 | $81.1M | 81.5% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Morgan Curtis | Registered representative | CFP | May 2014 (12y) | |
| Dion Mitchell Collins | Registered representative | CFP | May 2019 (7y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • NEGOTIATED FEES FOR FINANCIAL PLANS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗