James Minich has been Managing Member of Minichmacgregor Wealth Management since September 2009, is a control person of the firm and directly owns between 50% and 75% of it. James Minich holds a Bachelor of Arts from Furman University and a Juris Doctorate from the University of San Diego School of Law.
Minichmacgregor Wealth Management, LLC is a Saratoga Springs, NY firm with $723M under management, 928 clients and 7 advisers across 3 offices, as of its May 2026 filing.
James Minich is RIA Principal and Portfolio Manager of Minich MacGregor Wealth Management. He has worked as a financial advisor since 1987 and, after working for a full-service brokerage house, co-founded the firm in 2009. As one of its portfolio managers, he is responsible for the construction, monitoring and rebalancing of his clients' portfolios.
- – present · 13 yearsAdviser representative · Firm CRD 151237
Investment adviser representative registrations
James Minich is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from February 2013; the most recent is Texas, in August 2020.
- FloridaSince 28 February 2013
- TexasResidentSince 10 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 February 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 August 1987 |
| Series 7 | General Securities Representative Examination | 18 July 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Franklin Minich
- CRD
- 1708380
- Firm
- Minichmacgregor Wealth Management · CRD 151237
- Role
- Managing Member
- Registration
- Investment adviser registration
- In the industry since
- July 1987
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mmwealth.com
Where does James Minich work?
James Minich has been Managing Member of Minichmacgregor Wealth Management, LLC since September 2009, and is a control person of the firm.
Is James Minich a financial advisor?
Yes. James Minich has a current investment-adviser registration in Florida and Texas, through Minichmacgregor Wealth Management since February 2013.
How many years of experience does James Minich have?
James Minich has 39 years in the financial industry, since July 1987, across 1 adviser firm.
What exams has James Minich passed?
James Minich has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in July 1987. FINRA credited James Minich with the SIE, which began in October 2018.
Is James Minich registered with FINRA?
No. James Minich has no current broker registration.
How can I verify James Minich’s record?
Search CRD 1708380 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Minich’s full registration record.
