August 1996. Co-founded Lockwood Financial Group, a turnkey investment platform serving the independent advisor marketplace. Being a start-up, Jim served in multiple capacities. Over seven years, the firm grew from two people to 174 employees, with just under $8 billion in assets under advisement. ...more

August 1996. Co-founded Lockwood Financial Group, a turnkey investment platform serving the independent advisor marketplace. Being a start-up, Jim served in multiple capacities. Over seven years, the firm grew from two people to 174 employees, with just under $8 billion in assets under advisement. August 2002. Lockwood Advisors was acquired by Bank of New York Mellon. Jim served as COO and later became CEO of Lockwood Advisors as well as President of Pershing Managed Account Solutions. Assets under advisement and administration grew to over $250 billion in assets with over 500 employees. June 2012. Retired as CEO of Lockwood Advisors. That fall, Jim completed a 3,100-mile, cross-country bike ride, raising money for the Mike Clark Legacy Foundation in honor of his late, good friend, Mike Clark. The ride raised over $75,000 and began a tradition of cyclists riding across the country raising funds to further improve the facilities at Boys & Girls Clubs in Delaware. 2013. Jim focused his efforts on bringing young talent into the financial services industry through his position as investor and Senior Partner at Wheelhouse Analytics. During this time, he created what would become Envestnet Institute on Campus, an online program that connects college students with the wealth management industry and serves as a training program for employees already working in the industry. October 2016. Envestnet purchased Wheelhouse Analytics. Jim went on to serve as Managing Director of Envestnet. His responsibilities included practice management and educational services for their 100,000+ advisor network as well as the delivery and execution of Envestnet Institute on Campus (EIOC). As of June 30, 2021, the EIOC program had grown to over 4,700 students and forty-seven colleges, inclusive of four HBCUs. Jim has developed initiatives within the program that support women and other minorities in the wealth management space as well as created a scholarship program allowing underrepresented populations to complete CFP certification training. These programs, particularly those aimed at increasing diversity and equality, have resulted in numerous awards being given both to Envestnet Institute on Campus and Jim individually. June 2021. Jim is consulting to high-net-worth advisory firms as well as firms in the fin-tech space. He devotes time to supporting and mentoring the next generation, including webinars for colleges and universities. Jim serves as an advisor to Warrior Surf Foundation, a charitable organization benefitting Veterans and their families.less