Jim Poe & Associates, Inc.

Jim Poe & Associates, Inc. is a financial advisor firm founded in 2004 by Dauphinais M. Poe, offering personalized financial planning and investment management services to individuals, high net worth individuals, trusts, estates, charitable organizations, and small businesses. The firm provides services such as financial objective determination, cash flow management, tax planning, investment management, education funding, retirement planning, and estate planning. Clients can impose restrictions on investments, and the firm does not sponsor a wrap fee program. As of December 31, 2023, the firm managed approximately $28.3 million on a discretionary basis and $70,165 on a non-discretionary basis. Fees are based on a percentage of assets under management, with a negotiable annual fee structure. The firm does not accept performance-based fees and acts as a fiduciary. Investment strategies are tailored to individual client goals and risk tolerance, utilizing fundamental, technical, and cyclical analysis. The firm has disclosed disciplinary information related to lawsuits and regulatory orders. Clients are urged to vote their own proxies, and the firm does not vote on behalf of clients. Gary M. Goeppinger, the Chief Compliance Officer and investment adviser representative, has a background in business management and supervises his activities with the firm. He does not receive additional compensation and has no disciplinary history.