Founder
2005–Present, I started a Registered Investment Advisory firm in TX on March 7th, 2005 with custodial partner, Fidelity Investments, and was under direct Supervision from the Texas State Securities Board.
In June 2013, I merged my RIA with another RIA firm with headquarters in Tampa, Florida, and now work as an Independent Advisor Representative or IAR under that RIA. Between my firm and my partner firms, we have over 300 Investment Advisors and manage over 12.5 billion in client assets, as of 1-1-2025.
My Wealth Management Services focus on Individuals, Families & Businesses, Banks & Credit Union Members, Executives with Concentrated Stock positions, Financial & Retirement Planning, 401k Services, Divorce Planning, Solving Complex Financial Situations, Insurance & Lending Services, and Estate Planning Services.
In addition to working as an IAR, I have been working in partnership with a Credit Union. My role includes; building their Wealth Management department, educating members on a variety of Financial & Lending opportunities, with a focus on holistic Financial Planning, Portfolio Management, Insurance, Trust & Estate Planning.
Additional experiences include; establishing a 501(c)(3) Tax-Exempt Nonprofit Organization, setting up a Private Family Foundation as Director / President / Treasurer, while building Executive and Management team, Managing Foundation Assets, Grant requests, meeting IRS Distribution Requirements, Annual Tax Preparation, and filing form 990-PF Tax Returns.
James Custodial Service experiences are through Charles Schwab & Fidelity Investments for client assets.
James Manages Investment Portfolios & Advises Individuals & Businesses on a variety of Financial & Business related issues.
Prior to being the founder of his own RIA, James worked as a Portfolio Manager & Financial Advisor for two international investment firms;
2001-2005, Financial Advisor / Portfolio Manager / Branch Coach – Prudential Securities, Dallas, TX. As Financial Advisor, recruited and partnered with female Million Dollar producer from Merrill Lynch, together AUM over $170 million, focusing on HNW/UHNW clients, holistic Financial Planning, Discretionary Portfolio Management, Lending & Insurance Services, Estate Planning, solving complex financial situations for Corporate Executives, and appointed Branch Coach, Dallas, TX branch.
Responsibilities as Branch Coach included; Recruiting, Interviewing, Training, Overseeing operations of 15-25 Financial Advisors, and managing a book of business.
1996-2001, Financial Consultant / Leader of Professional Development Program or PDP – Merrill Lynch, Irving, TX. Started in 24 month Financial Advisor Professional Development Program PDP, after 17 months graduated from PDP program, and was asked to become Leader of PDP in Irving, TX branch.
Responsibilities as Leader of PDP included; Recruiting, Interviewing, Training, Overseeing operations of 10-20 Financial Advisors, and managing a book of business.
As a Financial Advisor, I focused on HNW/UHNW clients, focused on Discretionary Custom Portfolio Management, implemented a holistic Financial Planning approach, Estate Planning Services, and Executive Stock Option Strategies & Analysis.
James recently hosted a National Syndicated Radio Show called, “The James Wigen Show”.
In addition to his experience in Financial Services & Insurance Services, James has Started & Consulted with several Small Business Owners, and James Philanthropic work includes Private Foundations, Nonprofit organizations, and starting his own 501(c)(3) Tax-Exempt Nonprofit Organization in 2007 called, Believe In Your Dreams Foundation.
Teaching Experiences
James has taught Non-Credit Investment / Retirement Planning classes through Continuing Education at Universities, Community Colleges & Osher Lifelong Learning Institute in AZ, CA, FL, MI, MN, NH, OK, SC, TX, VA, WI, since 1998.
James has earned several Top Industry Designations since 1996.
Professional Designations
Certified Mediator
CFA Society Member of Orange County
CFP® Member ID 474824 – CFP Candidate, Exam 2026
Chartered Asset Manager® CAM®
Chartered Financial Manager® ChFM®
Chartered Portfolio Manager® CPM®
Chartered Wealth Manager® CWM®
Divorce Coach Certification
Portfolio Manager Certification
U-4 – Clean, No Incidents or Client Complaints Ever Filed
Active Professional Licenses
Series 65 – CA, FL, MS, MT, OR, TX, UT
Uniform Investment Adviser Law Examination
General Lines Life, Accident & Health Insurance
State of FL & TX
Notary Public Certification
State of TX
Professional Affiliations / Achievements
AARP Pro Bono Financial Planning Services
Creator of StampStickers – “Shark Tank” Candidate 2009
Financial Planning Association
Founder of 501(c)3 Tax-Exempt NonProfit Organization
Marquis Who’s Who In America
MicroMentor.org – Small Business Owner Mentor
National Syndicated Radio Show – “currently off air”
Orange County Superior Court – Small Claims Court Mediator Volunteer
SDC Bar Association – MFA Panel Arbitrator Volunteer
Published Author
Truth About Your Credit Scores
Understanding What It Takes to be Self-Employed
Your Financial Lifecycle
James Chartered Asset Manager CAM®, Chartered Financial Manager ChFM®, Chartered Portfolio Manager CPM®, Chartered Wealth Manager CWM® designations were earned through Global Academy of Finance and Management or GAFM®.
Investing involves serious risks and past performance is no guarantee of future performance or success. This is not an offer to buy or sell securities and nothing contained herein should be interpreted as a recommendation regarding any investment or investment strategy. Before making any decision to invest, first read the relevant disclosures and important information provided to you.
Please take the proper risk for your current situation and get the advice from a financial professional who clearly understands your current & future goals and objectives.
Investments are NOT FDIC INSURED * MAY LOSE VALUE * NO BANK GUARANTEE
All opinions expressed by James R. Wigen on this website are solely his opinions and do not reflect the opinions of IFP Advisors, LLC, dba Independent Financial Partners, (IFP). Investment Advice offered through IFP Advisors, LLC, dba Independent Financial Partners (IFP), a Registered Investment Adviser. IFP and Independent Financial Management, LLC (IFM), are separate entities.
