James P. Shafer

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Contact Information

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Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

21 years registered in the securities industry

Current & Past Employments

Current

NEW EDGE WEALTHCurrent·CRD# 307771

RIA

1907 E Wayzata Blvd 3rd Floor, Wayzata, MN, 55391

September 14, 2026 - Present

NEWEDGE SECURITIES, LLCCurrent·CRD# 10674

BD

1907 E Wayzata Blvd 3rd Floor, Wayzata, MN, 55391

September 14, 2026 - Present

Past

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

RIA

Wayzata, MN

January 3, 2006 - September 22, 2026

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

BD

Wayzata, MN

July 12, 2005 - September 22, 2026

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Current Firm

NE

NEW EDGE WEALTH

CRD#: 307771 / SEC#: 801-118291

RIA

Registered Investment Advisory firm - SEC (3/25/2020 Approved)

Maryland

Registered Investment Advisory firm - Maryland (2/28/2020 Terminated)

North Carolina

Registered Investment Advisory firm - North Carolina (2/25/2020 Terminated)

South Dakota

Registered Investment Advisory firm - South Dakota (2/24/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (2/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2200 Atlantic Street Suite 200, Stamford, CT 06902

Phone Number

(203) 424-2262

# of Employees

211

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NEWEDGE WEALTH LLC WRAP FEE PROGRAM BROCHURE (4/23/2026)

NEWEDGE WEALTH FORM ADV PART 2A FIRM BROCHURE (4/23/2026)

Regulatory Assets Under Management

Total Number of Accounts

19,593

AUM (Assets Under Management)

$19,926,358,801

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2025	Cover Page	Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)ALPHA OMEGA CAPITALISTS LLC. NE BLAINE, MN, 55449. YES, INVESTMENT RELATED. BUSINESS - RENTAL PROPERTIES. TITLE - CO - OWNER. START DATE - 01/01/2004. 20 HRS/MONTH. DUTIES - RUN THE PROPERTIES. 2)ENLIVEN INTERNATIONAL / 5269 FENSON COURT NORTH HUGO,MN 55038 / CO-OPERATION / WORKING WITH COMMUNITIES WHO MAKE LESS THAN $2 / DAY IN NICARAGUA / OFFICER / / DEVELOPMENT OF ORGANIZATION / CREATING IT / START DATE 1/1/2013 / 3)Italian Eatery / 4724 Cedar Ave S Minneapolis,mn 55407 / Company/ Food, Beverages & Tobacco / Restaurant / Partner / / Provided Capital and Advice / Start Date 11/2/15 /

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NE

NEW EDGE WEALTH

CRD#: 307771 / SEC#: 801-118291

RIA

Registered Investment Advisory firm - SEC (3/25/2020 Approved)

Maryland

Registered Investment Advisory firm - Maryland (2/28/2020 Terminated)

North Carolina

Registered Investment Advisory firm - North Carolina (2/25/2020 Terminated)

South Dakota

Registered Investment Advisory firm - South Dakota (2/24/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (2/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/14/2026)

RR

Alaska
(9/14/2026)

RR

Arizona
(9/14/2026)

RR

Arkansas
(9/14/2026)

RR

California
(9/14/2026)

RR

Colorado
(9/14/2026)

RR

Florida
(9/14/2026)

RR

Georgia
(9/14/2026)

RR

Hawaii
(9/14/2026)

RR

Illinois
(9/14/2026)

RR

Indiana
(9/14/2026)

RR

Iowa
(9/14/2026)

RR

Kansas
(9/14/2026)

RR

Kentucky
(9/14/2026)

RR

Louisiana
(9/14/2026)

RR

Maryland
(9/14/2026)

RR

Massachusetts
(9/14/2026)

RR

Michigan
(9/14/2026)

RR

Minnesota
(9/14/2026)

IAR

Minnesota
(9/14/2026)

RR

Mississippi
(9/14/2026)

RR

Missouri
(9/14/2026)

RR

Montana
(9/14/2026)

RR

New Jersey
(9/14/2026)

RR

New Mexico
(9/14/2026)

RR

New York
(9/14/2026)

RR

North Carolina
(9/14/2026)

RR

North Dakota
(9/14/2026)

RR

Ohio
(9/14/2026)

RR

Oklahoma
(9/14/2026)

RR

Oregon
(9/14/2026)

RR

Pennsylvania
(9/14/2026)

RR

South Carolina
(9/14/2026)

RR

South Dakota
(9/14/2026)

RR

Tennessee
(9/14/2026)

RR

Texas
(9/14/2026)

IAR

Texas
(9/14/2026)

RR

Virgin Islands
(9/14/2026)

RR

Virginia
(9/14/2026)

RR

Washington
(9/14/2026)

RR

Wisconsin
(9/14/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.