James Allyn Franke
Investment Adviser Representative at Rothschild Investment
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Allyn Franke is an investment adviser representative with Rothschild Investment in Chicago, IL, where they have been registered since 2011. They have worked in the securities industry since 2004 and have been registered with 4 firms, including Robert W. Baird & Co. Incorporated and Morgan Stanley Smith Barney LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Illinois and Texas.
Office
Advisors at this office: 11
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Illinois, Texas
- Broker:
22 states and territories
Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Idaho, Illinois, Iowa, Kansas, Louisiana, Maine, Maryland, Michigan, Missouri, New York, Oregon, Texas, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Rothschild Investment, LLCDec 2011 – no end date reportedChicago, IL
- Rothschild Wealth LLCSep 2026 – no end date reportedOak Brook, IL
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Rothschild Investment
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Estimated blended rate
- 0.0125
- First $3,000,0001.25%
- Next $4,000,0001.00%
- Next $8,000,0000.75%
- Over $15,000,0000.50%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment management, financial planning, estate and philanthropic planning, customized insurance solutions, multi-family office services, business retirement plans, employee stock ownership plans, non-profit advisory services, and succession planning.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 19
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Chicago, IL
- Founded:
- 1908
- SEC file number:
- 801-7395
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Rothschild Investment
Showing 12 of 19 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Allyn Franke has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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