Broker-dealer firm · Falls Church, VA
The Scott S. James Company
James Scott S Co · SEC-registered investment adviser · CRD 105861 · SEC 801-123515
At a glance
The Scott S. James Company is an SEC-registered investment adviser based in Falls Church, Virginia, with $139 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 139 individual clients. By Form ADV it is a broker-dealer firm, ranked 310th of 391 broker-dealer firms and 14,039th of 17,210 SEC-registered advisers by assets.
Main office 703-533-2500scottjamesgroup.comAs filed on Form ADV
- Regulatory AUM
- $139M
- Rank among broker-dealer firms
- #310 of 391
- Rank among all SEC RIAs
- #14,039 of 17,210
- Rank in Virginia
- #252 of 300
- Individual clients
- 139
- High-net-worth clients
- 85
- Accounts
- 267
- Discretionary
- 95% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Scott S. JamesPresident, Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
The Scott S. James Company is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Scott James Group, Inc..
- Scott James Group, Inc. ↗CRD 104374
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Scott James Group as the broker-dealer its advisers are registered with.
Scott James and Mary Scanlan, Investment Advisor Representatives of SJC, are both Registered Representatives of Scott James Group, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 85 | $123M | 88% |
| Individuals | 54 | $16M | 12% |
Disciplinary disclosures
The Scott S. James Company 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
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗scottjamesgroup.com ↗
AtlasMembers
The full record on The Scott S. James Company
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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 125 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
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- 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 The Scott S. James Company manage?
The Scott S. James Company reports $139 million in regulatory assets under management across 267 accounts, 95% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is The Scott S. James Company?
The Scott S. James Company is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are The Scott S. James Company’s clients?
By assets, its largest client types are high-net-worth individuals ($123 million, 85 clients); individuals ($16 million, 54 clients).
Does The Scott S. James Company have any disciplinary history?
The Scott S. James Company 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 The Scott S. James Company’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 (2026-03-30), 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 →