Asset manager · Xenia, OH
James Investment Research Inc
SEC-registered investment adviser · CRD 110433 · SEC 801-12359
At a glance
James Investment Research Inc is an SEC-registered investment adviser based in Xenia, Ohio, with $1.2 billion in regulatory assets under management as of its Form ADV filed May 18, 2026. Its largest client group by assets is investment companies, and it reports 404 individual clients. By Form ADV it is a asset manager, ranked 1,265th of 3,218 asset managers and 4,836th of 17,210 SEC-registered advisers by assets.
Main office 937-426-7640jamesinvestment.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among asset managers
- #1,265 of 3,218
- Rank among all SEC RIAs
- #4,836 of 17,210
- Rank in Ohio
- #97 of 403
- Individual clients
- 404
- High-net-worth clients
- 109
- Accounts
- 692
- Discretionary
- 97% of AUM
- Employees
- 15
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Lesley D. OttChief Compliance Officer (JAN. 2012) & Chief Operating Officer (JAN. 2020)
- Barry R. JamesChairman of the Board
- Richard B. CulpepperPresident (JAN. 2022) & CEO (NOV. 2022)
Custody and brokerage
Broker-dealer
Hybrid RIA
James Investment Research Inc is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed May 2026) names Ultimus Fund Distributors as the broker-dealer its advisers are registered with.
me management personnel and other related persons of our firm are registered representatives of Ultimus Fund Distributors, LLC, member FINRA/SIPC, and may receive compensation in connection with assets managed or other investment products.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $551M | 46% |
| High-net-worth individuals | 109 | $463M | 38% |
| Individuals | 295 | $104M | 9% |
| Corporations or other businesses | 14 | $44M | 4% |
| Charitable organizations | 12 | $38M | 3% |
| Pension and profit sharing plans | – | $6M | <1% |
| Other | – | $5M | <1% |
Disciplinary disclosures
James Investment Research Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗jamesinvestment.com ↗
AtlasMembers
The full record on James Investment Research Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 973 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does James Investment Research Inc manage?
James Investment Research Inc reports $1.2 billion in regulatory assets under management across 692 accounts, 97% of it on a discretionary basis, on its Form ADV filed May 18, 2026.
What kind of firm is James Investment Research Inc?
James Investment Research Inc is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are James Investment Research Inc’s clients?
By assets, its largest client types are investment companies ($551 million, 1 clients); high-net-worth individuals ($463 million, 109 clients); individuals ($104 million, 295 clients).
Does James Investment Research Inc have any disciplinary history?
James Investment Research Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is James Investment Research Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →