Jim is a seasoned capital markets expert with nearly 40 years of comprehensive experience in trading, risk management, and investment strategy development.
Before founding QEX Asset Management, from 2016 to 2022, Jim served as the Head Trader at an investment advisory firm in Menlo Park, CA, where he successfully managed all trading activities, trade monitoring, and risk management. His role was critical in developing and implementing systematic investment strategies and participating as a member of the portfolio committee.
Earlier, Jim owned and operated Windsor Financial Advisors in Princeton, NJ, from 1995 to 2015 where he provided specialized investment modeling research, developing systematic trading models employing ETFs, OEFs, Treasury bond futures, and options. His clientele included individual customers as well as institutions including a publicly traded mutual fund currently ranked 5 stars by Morningstar.
Jim's early career includes notable positions on Wall Street as a Government Bond Trader at an international hedge fund, an institutional bond broker and as a financial futures salesman. In these roles, Jim honed his quantitative skills in trading US Treasury Bonds, futures and basis as well as Eurodollar curve futures and options to an elite group of institutional clients.
QEX is a systematic investing firm that uses a disciplined and rule-based approach to financial markets. Investment decisions are guided by predefined strategies and algorithms rather than human intuition. This method relies on the systematic application of quantitative models and statistical analysis to identify and exploit patterns, trends, and anomalies within the market.
The goal of systematic investing is to remove emotional biases and subjectivity from decision-making, relying instead on empirical data and historical patterns to inform investment choices.
General Information |
| Firm Start Year: | 2022 | |
| No. of Employees: | 2-4 | |
| Name of Custodial Firm: | Interactive Brokers |
| Number of Years with Current Firm: | 1 |
| Work with the following types of clients: | Businesses, Individual Investors |
| Advisory Services Provided: | Portfolio Management, Wealth Management, Money Management, Risk Management, Investment Advice & Management |
Services |
| Investment Types: | Bonds, Stocks, Exchange Traded Funds (ETFs) |
| Can meet clients in the following ways: | Phone, Video Conference |
Firm Information |
| Firm's Number of Clients: | 20 |
| Firm's Number of Managed Clients: | 20 |
| Assets Managed by Firm: | $8,000,000 |
| Advisor's Number of Clients: | 20 |
| Advisor's Number of Managed Clients: | 20 |
| Advisor's Number of Planning Clients: | 0 |
Compensation and Fees |
| Fee Structure: | Fee-Only |
| Minimum Portfolio Size for New Managed Accounts: | $50,000 |
| Compensation Methods: | Based on Assets |
Education |
| BA - Economics | Vassar College
1981-1985 |
| MBA | NYU / Stern School of Business
1991-1993 |
FAQs |
Do you have a customer satisfaction or refund policy?I'll explain fees fully before we ever get started. In short, fees are charged in arrears (after the fact) so you never have any future obligation. You can leave at any time and we will assist in all transitions. |
How do you charge for your services?Fees are based solely on the amount of assets managed. Fees are debited for you by the custodian at the end of each month. |
How much risk should I be willing to take?That's an excellent question and a very personal one. The best way to figure out your risk tolerance is to talk through different scenarios about when you might need to use your investments and how you would feel if the markets drop in price. |
Have you ever been charged with any breaches?No. |
What services do you provide? What are your specialties?My main focus is asset management and in particular systematic investing strategies that take the emotion of investment decision making. We've got several models that range from very conservative to very aggressive that can be used individually or blended to try and match your own risk tolerance. |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. |
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Additional Detailed Disclosures |
Registered Investment Advisor:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
I have a clean record
Criminal Disclosures in Last 5 years:
I have a clean record
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