James Pleat

EDWARD JONES

Marlborough, MA · CRD#

LPL FINANCIAL LLC

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BOSTON, MA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

2 years registered in the securities industry

Current & Past Employments

Current

BALLENTINE PARTNERSCurrent·CRD# 152802

RIA

230 Third Ave 6th Fl, Waltham, MA, 02451

October 15, 2024 - Present

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Customer Relationship Summary (CRS / SEC)Latest Form ADV

Current Firm

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - SEC (1/25/2010 Approved)

Contact Information

Main Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Mailing Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Phone Number

(781) 314-1300

# of Employees

125

SEC notice filing (33 States and Territories)

Registered to provide investment advisory services in 33 US states and territories.

Documents

Part 2 Brochures

BALLENTINE PARTNERS LLC (10/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

7,401

AUM (Assets Under Management)

$15,316,738,538

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/31/2025	Cover Page	Report
02/26/2025	Cover Page	Report
12/21/2023	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.

The advisor shows no other business activity.

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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".

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - SEC (1/25/2010 Approved)

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.

IAR

Massachusetts
(10/15/2024)

IAR

New Hampshire
(10/18/2024)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2024About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2024About the SIE exam

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CRS (Client Relationship Summary) - RIA

BALLENTINE PARTNERS — Registered Investment Advisory firm

Ballentine Partners, LLC is an SEC-registered investment advisory firm. We have no affiliation with a broker-dealer. Brokerage and investment advisor services and fees differ, and it is important for you to understand the differences. Free and simple tools are available to research firms and financial professionals at https://www.investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisors and investing. Information in the text boxes below is intended to be a conversation starter for you to have with us and is required by the instructions to Form CRS.

We offer a broad range of wealth management, financial planning, consulting services and investment advisory services. We will customize the range of services we offer based upon your requirements. Investment accounts are reviewed at least quarterly. The frequency of our communications with your family will be based upon your needs. Communications in a typical relationship include face-to-face meetings, video conferences, telephone conferences, and email.

There are two service groups within our firm: (1) the High Net Worth client group, and (2) the Family Office group.

We manage investment accounts on both a discretionary and non-discretionary basis. A discretionary account allows us to buy and sell investments in your account without asking for your approval in advance. A non-discretionary account means that you decide what investments to buy and sell.

We offer a broad range of investment choices, including both publicly traded and private securities. The range of investment choices we will recommend for you is based solely upon our assessment of your needs. We use no-load Exchange Traded Funds and mutual funds, individual stocks, bonds and private funds, all of which are available without any sales charges. You will receive full disclosure of our fees.

We will serve you in a manner consistent with the fiduciary standard. We strive to minimize conflicts of interest between ourselves and you. We do not participate in wrap fee programs, soft dollar programs, paid referral programs or other types of fee-sharing arrangements. We believe such programs are detrimental to your interests.

For more information, please see our web site www.ballentinepartners.com and our Form ADV 2A which is available in paper format upon request and on our web site at https://ballentinepartners.com/importantdisclosures/

Questions to ask your Professional:

Given my financial situation, should I choose an investment advisory service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

Our fees are generally charged on a quarterly basis. Our Family Office clients pay fees based on either:

A percentage of assets under our advice; or
A flat fee that is periodically renegotiated.

We will be glad to answer any questions you may have about our fee arrangements. Our Family Office fees are negotiable, based on the scope of services you require, complexity of the engagement, amount of staffing and other resources that are required.

Our High Net Worth clients pay fees based on a percentage of assets under our advice.

Generally, our investment advice covers all our clients’ assets, wherever located and regardless of who is making the dayto-day investment decisions. If your fee is based on assets under our advice, we may have an incentive to encourage you to increase the assets in your accounts. We do not receive any compensation in connection with the purchase or sale of securities in your accounts.

Some investments impose additional fees that will reduce the value of your investments overtime. For example, mutual funds, exchange traded funds (“ETFs”) and private investments impose additional fees. Some investments impose surrender charges or impose “lock-up” periods during which your right to withdraw your investment will be restricted. If you select a trust company as your custody agent, you will also pay a custody fee.

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. For additional information please see our Form ADV 2A, items 5.A thru 5.D., which is available in paper format upon request and on our web site at https://ballentinepartners.com/important-disclosures/

Questions to ask your Professional:

Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means.

At the request of our clients,we have established propriety private funds in which only our clients are allowed to invest. Those funds reimburse us for the costs of setting them up and therefore have an incentive to recommend them to you.
We may recommend rollovers out of employer-sponsored retirement plans and into Individual Retirement Accounts that we manage for an asset-based fee. If we don’t currently manage your account held with your employer’s plan, this will increase our compensation.

Our Form ADV 2A, item 10.A thru 10.D., contains a detailed disclosure of our conflicts of interest, which is available in paper format upon request and on our web site at https://ballentinepartners.com/importantdisclosures/

Questions to ask your Professional:

How might your conflicts of interest affect me, and how will you address them?

Our financial professionals are compensated with salaries and bonuses. Senior employees may also receive an ownership stake in our firm. Compensation is not tied directly to any of the following factors: the amount of client assets they service; the time and complexity required to meet a client’s needs; or revenue the firm earns from the financial professional’s advisory services or recommendations. There is absolutely no connection between compensation and (1) products sold (i.e., differential compensation); or (2) product sales commissions.

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