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Chief Compliance Officer (JAN. 2012) & Chief Operating Officer (JAN. 2020) · James Investment Research Inc

Lesley D. Ott

CRD 5828416 · Named on Form ADV at one SEC-registered adviser

At a glance

James Investment Research Inc, an SEC-registered asset manager based in Xenia, OH with $1.2 billion in regulatory assets, lists Lesley D. Ott on its Form ADV as Chief Compliance Officer (JAN. 2012) & Chief Operating Officer (JAN. 2020), a control person.

Firms and roles

  • James Investment Research IncChief Compliance Officer (JAN. 2012) & Chief Operating Officer (JAN. 2020)Asset manager · Xenia, OH · $1.2B in regulatory assets

AtlasMembers

Lesley’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lesley’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.