# James A. Colley, Inc.

> 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.

- CRD: 141794
- Filed as: JAMES A. COLLEY, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Lake Placid, FL
- Filing period: October 2026
- Form ADV filing dated: August 24, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/141794
- AdvisorCensus page: https://advisorcensus.com/firm/james-a-colley-inc-lake-placid-fl-141794

## Quick answers

**How is James A. Colley, Inc. compensated?**
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.

**Where is James A. Colley, Inc. located?**
James A. Colley, Inc.'s principal office is in Lake Placid, FL, according to its Form ADV.

**Is James A. Colley, Inc. registered with the SEC or a state?**
James A. Colley, Inc. is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 141794.

**How much does James A. Colley, Inc. manage?**
James A. Colley, Inc. reports $31,925,330 in regulatory assets under management in its Form ADV filing dated August 24, 2026 (98% discretionary).

**What types of clients does James A. Colley, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (14); individuals (other than high net worth individuals) (10).

**Does James A. Colley, Inc. report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $31,925,330
- Discretionary: $31,396,276
- Non-discretionary: $529,054

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 10 | $6,199,407 |
| High net worth individuals | 14 | $25,725,923 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2002 (24 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/141794

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. James A. Colley, Inc. (CRD 141794): Form ADV filing data as of October 2026.