# James D. Vooys CPA/PFS

James D. Vooys CPA/PFS is a RIA based in United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** United States
- **Region:** North America
- **Assets under management:** Under $50M (Altss estimate)

## Regulatory record

- **CRD number:** 133332
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/133332

## About

JAMES D. VOOYS CPA/PFS is a state-registered investment adviser in Albany, NY. The firm manages approximately $8 million in regulatory assets. It has 1 employee and 1 investment adviser.

## Sectors

- Wealth Management
- Tax Planning

## People

- James D. Vooys — Principal

## Questions

### What does the CPA/PFS dual credential mean for investment management?

The Personal Financial Specialist (PFS) is a credential issued by the American Institute of CPAs (AICPA) exclusively to licensed CPAs who meet additional experience, education, and examination requirements in financial planning. For clients, it means the advisor managing their investments also prepares or deeply understands their tax return. This integration allows portfolio decisions — such as realizing capital gains or structuring retirement withdrawals — to be weighed continuously against current-year tax consequences, not reviewed annually after the fact.

### How does a CPA/PFS advisor differ from a standard RIA in fee structure?

CPA/PFS practitioners commonly offer both asset-under-management fees for investment advisory services and hourly or fixed-fee billing for tax and planning work. This blended model can reduce the conflict of interest inherent in purely AUM-based advice, because the advisor is compensated for tax strategy and planning even when the recommended action does not increase managed assets. The firm's specific fee schedule is not publicly disclosed.

### What types of clients does a CPA/PFS practice typically serve?

Such practices generally serve high-net-worth individuals, corporate executives, and business owners whose income sources, equity compensation, and pass-through business structures create ongoing tax complexity. The combination of CPA and PFS is particularly valuable for clients navigating concentrated stock positions, multi-state residency tax issues, or pre-liquidity planning for closely held businesses. Specific client profiles for this firm are not publicly disclosed.

### How is fiduciary duty applied in a CPA/PFS practice?

When acting as a Registered Investment Adviser, the firm is bound by the Investment Advisers Act of 1940's fiduciary standard, which requires putting client interests first. As a CPA, James Vooys is separately governed by the AICPA Code of Professional Conduct and state board ethics rules. The overlap creates a dual regulatory framework where both investment recommendations and tax positions must satisfy independent fiduciary and professional standards.

## Related profiles

- [Downey Capital Management](https://altss.com/profile/downey-capital-management-inc)
- [Williams Wealth Management](https://altss.com/profile/williams-wealth-management-inc)

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Last updated: 2026-06-03T20:00:00.000Z

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