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James Richard Oswald

T2 Asset Management, LLC

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About James Richard Oswald

James Richard Oswald is a registered Investment Advisor Representative with T2 Asset Management, LLC. James has been in the industry since 1986 and has experience providing financial planning and portfolio management services to individuals. James holds the Series 6 license and is a Chartered Financial Analyst. James Richard Oswald is based in Naperville, Illinois.

Firm Information

James Oswald is currently registered with T2 Asset Management, LLC. T2 Asset Management, LLC is an investment advisor located in NAPERVILLE, IL. The firm has 4 licensed agents, 5 investment advisor representatives, and 1 registered representative. T2 Asset Management, LLC manages approximately $140,000,000 in discretionary assets for 573 accounts. The firm provides financial planning and portfolio management services for individuals. They have 25 high-net-worth individual clients with $30,000,000 in assets under management and 548 other individual clients with $110,000,000 in assets under management. The firm's SEC number is 801-112202.
T2 Asset Management, LLC

1952 MCDOWELL RD

NAPERVILLE, IL 60563

$140.00M

Assets Under Management

Not reported

Total Clients

8

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Oswald’s Registration & Firm History

IL

02/27/2015 - Present

T2 Asset Management, LLC (NAPERVILLE IL)

NA

07/03/1986 - 10/23/1987

FIRST INVESTORS CORPORATION

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Licenses & Designations

BC

Issued 07/02/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Richard Oswald.
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