James Investment Research Inc (Xenia)

Name: James Investment Research Inc
Address: 1349 Fairground Road, Xenia, OH, 45385
Telephone: 937-426-7640

James Investment Research Inc is a large advisory firm based in Xenia. It manages $2.61 billion of regulatory assets for 269 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Florida, Indiana, and 7 other states.

James Investment Research provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, and research. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

James Investment Research: assets under management

The assets under management (AUM) of James Investment Research Inc is $2.61 billion. The firm's AUM has grown by 488% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.09 billion in discretionary accounts and $519.6 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.13 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $43.3 million.

Investments

The firm invests in exchange traded securities the most. They account for 48% of the total AUM. The second-largest asset type is investment and business development companies, which make up 34% of the firm’s portfolio. Investments in government bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay James Investment Research Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Francis E James serves?

The firm provides services to individuals, investment companies, charitable organizations, other investment advisers, high net worth individuals, banking or thrift institutions, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Francis E James is investment companies with 2 clients and $1.36 billion of assets under management. Among the 9 most similar advisory firms, James Investment Research has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $2.61 billion for 186 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

James Investment Research doesn't advise any private funds.

Careers at James Investment Research Inc

The company employs 16 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 12 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Francis E James has been acting as President since 1 Dec 1972. Barry Ray James joined the executive team most recently as the Co Trustee.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Francis E James	Chairman/owner	1 Dec 1972	75% - 100%	2253997
Frank E James Jr. Trust Iris R. James Trustee Dtd 03/05/1986	Owner	1 Mar 1986	75% - 100%	83-6801200
Barry Ray James	President/ceo	1 Jan 1995	Other	2254123
Thomas Lee Mangan	Vice president	1 Dec 1999	Other	1692618
Ann Shaw	Chief operating officer	1 Apr 2001	Other	2253982
Ann Marie Shaw Kremer	Chief operating officer	1 Apr 2001	Other	2253982
Thomas Lee Mangan	Vice president/chief compliance officer	1 Sep 2004	Other	1692618
Lesley Dawn Ott	Chief compliance officer	1 Jan 2012	Other	5828416

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Iris Rae James	Trustee	1 Mar 2019	Other	4391599
Barry Ray James	Co-trustee	1 Apr 2019	Other	2254123
David William James	Co-trustee	1 Apr 2019	Other	2253989
Francis Edward James	Co-trustee	1 Apr 2019	Other	2253993

Based in Xenia

The principal office where James Investment Research Inc performs its advisory services is located at 1349 Fairground Road, Xenia, OH 45385 The mailing address of the firm is P. O. Box 8, Alpha, OH 45301. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 937-426-7640 or by fax 937-426-7097. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at jir-inc.com.