{
  "crd_number": 141794,
  "slug": "james-a-colley-inc-lake-placid-fl-141794",
  "primary_business_name": "JAMES A. COLLEY, INC.",
  "legal_name": "JAMES A. COLLEY, INC.",
  "dbas": [],
  "city": "Lake Placid",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "42700",
  "metro": {
    "cbsa_code": "42700",
    "common_name": "Sebring",
    "msa_name": "Sebring, FL",
    "path": "/advisors/fl/sebring"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2002-05-08",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-08-24",
  "carried_forward": false,
  "raum_total": 31925330.0,
  "raum_discretionary": 31396276.0,
  "raum_non_discretionary": 529054.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 6199407.0,
      "count": 10
    },
    "high_net_worth_individuals": {
      "raum": 25725923.0,
      "count": 14
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "FL"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141794",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "LAKE PLACID",
  "url": "https://advisorcensus.com/firm/james-a-colley-inc-lake-placid-fl-141794",
  "display_name": "James A. Colley, Inc.",
  "summary": "James A. Colley, Inc. is a state-registered investment advisory firm in Lake Placid, FL, registered since 2002, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 24, 2026.",
  "citation": "AdvisorCensus. James A. Colley, Inc. (CRD 141794): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is James A. Colley, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), James A. Colley, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is James A. Colley, Inc. located?",
      "a": "James A. Colley, Inc.'s principal office is in Lake Placid, FL, according to its Form ADV."
    },
    {
      "q": "Is James A. Colley, Inc. registered with the SEC or a state?",
      "a": "James A. Colley, Inc. is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 141794."
    },
    {
      "q": "How much does James A. Colley, Inc. manage?",
      "a": "James A. Colley, Inc. reports $31,925,330 in regulatory assets under management in its Form ADV filing dated August 24, 2026 (98% discretionary)."
    },
    {
      "q": "What types of clients does James A. Colley, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (14); individuals (other than high net worth individuals) (10)."
    },
    {
      "q": "Does James A. Colley, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/141794"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/james-a-colley-inc-lake-placid-fl-141794.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 6199407.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 14,
      "fewer_than_5": false,
      "raum": 25725923.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141794",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}