{ "crd_number": 110433, "slug": "james-investment-research-inc-xenia-oh-110433", "primary_business_name": "JAMES INVESTMENT RESEARCH INC", "legal_name": "JAMES INVESTMENT RESEARCH INC", "dbas": [], "city": "Xenia", "state": "OH", "country": "United States", "cbsa_code": "19430", "metro": { "cbsa_code": "19430", "common_name": "Dayton", "msa_name": "Dayton-Kettering-Beavercreek, OH", "path": "/advisors/oh/dayton" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1976-10-02", "years_registered": 49, "period": "2026-10-01", "filing_date": "2026-05-18", "carried_forward": false, "raum_total": 1211598322.0, "raum_discretionary": 1176574834.0, "raum_non_discretionary": 35023488.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 15, "advisory_employees": 8, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 4910487.0, "count": null, "description": "RELIGOUS/UMA", "fewer_than_5": true }, "charitable": { "raum": 38379050.0, "count": 12 }, "individuals": { "raum": 104122921.0, "count": 295 }, "investment_companies": { "raum": 551403738.0, "count": 1 }, "pension_profit_sharing": { "raum": 5831086.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 463142211.0, "count": 109 }, "corporations_other_businesses": { "raum": 43808829.0, "count": 14 } }, "compensation_types": [ "fixed", "hourly", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AL", "CA", "FL", "KY", "LA", "MI", "NC", "OH", "PA", "TN", "TX" ], "websites": [ "https://facebook.com/JAMESINVT", "https://jamesinvestment.com", "https://linkedin.com/COMPANY/JAMES-INVESTMENT", "https://twitter.com/JAMESINVT", "https://youtube.com/channel/UCXtypmCV8HOudKu5Bn-UrBQ" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110433", "city_as_filed": "XENIA", "url": "https://advisorcensus.com/firm/james-investment-research-inc-xenia-oh-110433", "display_name": "James Investment Research Inc", "summary": "James Investment Research Inc is an SEC-registered investment advisory firm in Xenia, OH, registered since 1976, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 18, 2026.", "citation": "AdvisorCensus. James Investment Research Inc (CRD 110433): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is James Investment Research Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), James Investment Research Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other." }, { "q": "How much does James Investment Research Inc charge?", "a": "Its Form ADV Part 2A brochure dated May 18, 2026 states: Hourly rate: $150 an hour (Financial planning fees). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is James Investment Research Inc located?", "a": "James Investment Research Inc's principal office is in Xenia, OH, according to its Form ADV." }, { "q": "Is James Investment Research Inc registered with the SEC or a state?", "a": "James Investment Research Inc is an SEC-registered investment advisory firm, registered since 1976. Status as filed: Approved. CRD 110433." }, { "q": "How much does James Investment Research Inc manage?", "a": "James Investment Research Inc reports $1,211,598,322 in regulatory assets under management in its Form ADV filing dated May 18, 2026 (97% discretionary)." }, { "q": "How have James Investment Research Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for James Investment Research Inc: Regulatory assets under management: $1,558,400,000 in the October 2021 data and $1,211,598,322 in the October 2026 data, down 22%. Total employees: 16 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does James Investment Research Inc serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (295); high net worth individuals (109); corporations or other businesses not listed above (14)." }, { "q": "Which custodians does James Investment Research Inc use?", "a": "James Investment Research Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC and Morgan Stanley as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does James Investment Research Inc report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110433" }, { "q": "What changed in James Investment Research Inc's recent Form ADV filings?", "a": "In the January 2026 filing data: Registered or notice-filed in TN. No longer registered or notice-filed in MD." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1558400000.0, "total_employees": 16, "filing_date": "2021-03-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1464157338.0, "total_employees": 18, "filing_date": "2022-03-15" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1071122687.0, "total_employees": 16, "filing_date": "2022-12-22" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1060007560.0, "total_employees": 15, "filing_date": "2024-01-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1165234618.0, "total_employees": 14, "filing_date": "2024-12-19" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1211598322.0, "total_employees": 15, "filing_date": "2026-05-18" } ], "recent_changes": [ { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Registered or notice-filed in TN.", "No longer registered or notice-filed in MD." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated May 18, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [ "Hourly rate: $150 an hour (Financial planning fees)" ], "figures": [ { "label": "Planning fee", "statements": [ "Hourly rate: $150 an hour (Financial planning fees)" ], "quotes": [ "Hourly: Financial planning fees are calculated and charged on an hourly basis at $150 per hour." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [ { "kind": "hourly", "amount": 150.0, "min": null, "max": null, "period": "hour", "service": "Financial planning fees" } ] }, "quotes": [ "Hourly: Financial planning fees are calculated and charged on an hourly basis at $150 per hour." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false }, { "name": "Morgan Stanley", "name_as_filed": "MORGAN STANLEY", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/james-investment-research-inc-xenia-oh-110433.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 295, "fewer_than_5": false, "raum": 104122921.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 109, "fewer_than_5": false, "raum": 463142211.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 551403738.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 5831086.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 12, "fewer_than_5": false, "raum": 38379050.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 14, "fewer_than_5": false, "raum": 43808829.0 }, { "type": "other", "label": "Other", "count": null, "fewer_than_5": true, "raum": 4910487.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/110433", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }