James Investment Research Inc
- Regulatory AUM
- $1.2B
- Discretionary
- $1.2B
- Clients
- 431
- Avg AUM / client
- $2.8M
- Accounts
- 692
- Employees
- 15
AUM over time
Annual snapshots from Form ADV filings · as of May 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 295 | $104M | 8.59% |
| High net worth individuals | 109 | $463M | 38.2% |
| Investment companies | 1 | $551M | 45.5% |
| Pension and profit sharing plans | Fewer than 5 clients | $5.8M | 0.48% |
| Charitable organizations | 12 | $38.4M | 3.17% |
| Corporations and other businesses | 14 | $43.8M | 3.62% |
| Other | Fewer than 5 clients | $4.9M | 0.41% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Thompson Hine Llp Retirement Plan Thompson Hine Llp | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James, Barry, Ray | Chairman Of The Board | Jan 1995 (32y) | Less than 5% | |
| Richard Brian Culpepper | President (Jan. 2022) & Ceo (Nov. 2022) | Nov 2011 (15y) | Less than 5% | |
| Lesley Dawn Ott | Chief Compliance Officer (Jan. 2012) & Chief Operating Officer (Jan. 2020) | Jan 2012 (15y) | Less than 5% | |
| James, Iris, Rae | Trustee | Mar 2019 (7y) | GP / trustee / elected manager of Frank E James Jr. Trust Iris R. James Trustee Dtd 03/05/1986 (indirect) | |
| James, Francis, Edward | Co Trustee | Apr 2019 (7y) | GP / trustee / elected manager of Frank E James Jr. Trust Iris R. James Trustee Dtd 03/05/1986 (indirect) | |
| Trent Devaun Dysert | Registered representative | CFA | Nov 2011 (15y) | |
| Annette Marie Quinter | Registered representative | Nov 2011 (15y) | ||
| Brian Philip Shepardson | Registered representative | CFA Chartered Investment Counselor | Nov 2011 (15y) | |
| Diane Marie Rose | Registered representative | Nov 2011 (15y) | ||
| David James Mc Gowan | Registered representative | Jan 2022 (5y) | ||
| Ryan Michael Post | Registered representative | Jan 2022 (5y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Frank E James Jr. Trust Iris R. James Trustee Dtd 03/05/1986 | Owner | Mar 1986 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Thompson Hine Llp Retirement Plan | Thompson Hine Llp | 767 | $460M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/18/2026 | 1.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • PROJECT-BASED FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- U.S. Bancorp Investments, Inc. $535M (50% of AUM) Dec 2022
- Charles Schwab & Co. $215M (18% of AUM) May 2026
- Morgan Stanley $178M (15% of AUM) May 2026
- Merrill Lynch $147M (4% of AUM) Dec 2018
- UBS $88.5M (6% of AUM) Mar 2022
- Fifth Third Bank $84.3M (4% of AUM) Jun 2020
- Fidelity Brokerage Services $64.5M (5% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 18, 2026.
View current Form ADV (SEC/IAPD) ↗