DFX Intelligence

Data Factory

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

JAMES INVESTMENT RESEARCH INC

CRD 110433

XENIA, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91a0ca72-bef8-c184-010e-57281a78fda1

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 14
On other graphs: 0
Observed: Nov 15, 2011 to May 18, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.47 fund_share=0.46 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-05-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $567MderivedItem 5.D individuals plus high net worth individuals
Private client share: 47%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $151Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 15
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 692
Individual clients: 295
High net worth clients: 109
Custody, client assets: $49.9M
SEC number: 801-12359
CIK: 810384
CRD: 110433
Filings on the tape: 29
First filed: Nov 15, 2011
Latest filed: May 18, 2026
Organised: Corporation, OH

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD BRIAN CULPEPPER	n/a	XENIA, OH	14	31	n/a	no
TRENT DEVAUN DYSERT	Chartered Financial Analyst	XENIA, OH	14	20	1	no
DIANE MARIE ROSE	n/a	XENIA, OH	14	34	n/a	no
BRIAN PHILIP SHEPARDSON	Chartered Financial Analyst\|Chartered Investment Counselor	XENIA, OH	14	14	n/a	no
ANNETTE MARIE QUINTER	n/a	XENIA, OH	14	22	n/a	no
LESLEY DAWN OTT	n/a	XENIA, OH	4	20	1	yes
RYAN MICHAEL POST	n/a	XENIA, OH	4	20	1	no
David James McGowan	n/a	XENIA, OH	4	11	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CULPEPPER, RICHARD, BRIAN	PRESIDENT (JAN. 2022) & CEO (NOV.	Na	yes	01/2022	May 18, 2026	May 18, 2026
FRANK E JAMES JR. TRUST IRIS R.	Owner	E	yes	03/1986	May 18, 2026	May 18, 2026
JAMES, BARRY, RAY	CHAIRMAN OF THE BOARD	Na	yes	01/1995	May 18, 2026	May 18, 2026
OTT, LESLEY, DAWN	CHIEF COMPLIANCE OFFICER (JAN.	Na	yes	01/2012	May 18, 2026	May 18, 2026
FRANK E JAMES JR. TRUST IRIS R. JAMES TRUSTEE DTD 03/05/1986	Owner	E	yes	03/1986	Apr 9, 2019	Dec 19, 2024
JAMES, BARRY, RAY	CO-TRUSTEE	F	yes	04/2019	Feb 7, 2013	Dec 19, 2024
JAMES, FRANCIS, EDWARD	CO-TRUSTEE	F	yes	04/2019	Apr 9, 2019	Dec 19, 2024
JAMES, IRIS, RAE	Trustee	F	yes	03/2019	Apr 9, 2019	Dec 19, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Dec 19, 2024	$1.2B	$1.1B	14	8	0	n/a	n/a
2023	Jan 2, 2024	$1.1B	$1.0B	15	7	0	n/a	n/a
2022	Dec 22, 2022	$1.1B	$1.1B	16	8	0	n/a	n/a
2021	Dec 17, 2021	$1.4B	$1.2B	16	8	0	n/a	n/a
2020	Dec 14, 2020	$1.6B	$1.3B	16	8	0	n/a	n/a
2019	Dec 11, 2019	$2.1B	$1.7B	17	9	0	n/a	n/a
2018	Dec 17, 2018	$3.8B	$3.1B	19	10	0	n/a	n/a
2017	Jan 2, 2018	$5.2B	$4.4B	21	10	0	n/a	n/a
2016	Dec 20, 2016	$6.4B	$5.4B	19	9	n/a	n/a	n/a
2015	Dec 17, 2015	$6.5B	$5.5B	19	9	n/a	n/a	n/a
2014	Dec 15, 2014	$5.6B	$4.7B	19	9	n/a	n/a	n/a
2013	Dec 18, 2013	$4.5B	$3.7B	19	9	n/a	n/a	n/a
2012	Dec 20, 2012	$3.4B	$2.7B	19	9	n/a	n/a	n/a
2011	Nov 15, 2011	$2.6B	$2.0B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	12.5%	0	0	0	0	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.2B	$1.1B	14.3%	$1.4B	-5.7%	15	15	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
JAMES CAPITAL ALLIANCE INC	3	Dec 31, 2021	Jan 7, 2022	XENIA, OH	Firm absorbed	RIA to RIA	75.0%

Relationships

Registered with (11)

← LESLEY DAWN OTTAdvisorregistration: current employment
Jan 7, 2022 to presentfactForm ADV
← RYAN MICHAEL POSTAdvisorregistration: current employment
Jan 7, 2022 to presentfactForm ADV
← David James McGowanAdvisorregistration: current employment
Jan 7, 2022 to presentfactForm ADV
← DIANE MARIE ROSEAdvisorregistration: current employment
Nov 18, 2011 to presentfactForm ADV
← BRIAN PHILIP SHEPARDSONAdvisorregistration: current employment
Nov 18, 2011 to presentfactForm ADV
← ANNETTE MARIE QUINTERAdvisorregistration: current employment
Nov 18, 2011 to presentfactForm ADV
← TRENT DEVAUN DYSERTAdvisorregistration: current employment
Nov 8, 2011 to presentfactForm ADV
← RICHARD BRIAN CULPEPPERAdvisorregistration: current employment
Nov 7, 2011 to presentfactForm ADV
← Ashlee Danette WaltonAdvisorregistration: previous registration
Aug 29, 2022 to Apr 13, 2026factForm ADV
← Moustapha MounahAdvisorregistration: previous registration
Aug 29, 2022 to Jan 12, 2024factForm ADV
← Michelle Lynn SarmientoAdvisorregistration: previous registration
Nov 18, 2011 to Apr 1, 2019factForm ADV

Affiliated with (1)

← JAMES CAPITAL ALLIANCE INCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← JAMES, FRANCIS, EDWARDOwnerCO-TRUSTEE, ownership code F, individual
Apr 9, 2019 to Dec 19, 2024factForm ADV
← JAMES, BARRY, RAYOwnerCO-TRUSTEE, ownership code F, individual
Feb 7, 2013 to Dec 19, 2024factForm ADV
← CULPEPPER, RICHARD, BRIANOwnerPRESIDENT (JAN. 2022) & CEO (NOV. 2022), ownership code NA, individual
Jan 12, 2022 to Dec 19, 2024factForm ADV
← JAMES, IRIS, RAEOwnerTRUSTEE, ownership code F, individual
Apr 9, 2019 to Dec 19, 2024factForm ADV
← OTT, LESLEY, DAWNOwnerCHIEF COMPLIANCE OFFICER (JAN. 2012) & CHIEF OPERATING OFFICER (JAN. 2020), ownership code NA, individual
Jan 10, 2012 to Dec 19, 2024factForm ADV
← FRANK E JAMES JR. TRUST IRIS R. JAMES TRUSTEE DTD 03/05/1986OwnerOWNER, ownership code E, domestic entity
Apr 9, 2019 to Dec 19, 2024factForm ADV

Moved with (1)

← JAMES CAPITAL ALLIANCE INCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2021 to Jan 7, 2022factForm ADV

Dated events

Occurred
Apr 13, 2026
Advisor changed firm
Ashlee Danette Walton left James Investment Research Inc for Goldstone Financial Group, Llc (registered 2024-03-07)
Form ADVobserved 3 days ago
Occurred
Jan 12, 2024
Advisor changed firm
Moustapha Mounah left James Investment Research Inc for Westminster Financial Advisory Corp (registered 2024-03-01)
Form ADVobserved 3 days ago
Occurred
Dec 22, 2022
Regulatory AUM changed
James Investment Research Inc reported RAUM $1.1B, down 27% from $1.5B (2022-03-15 to 2022-12-22)
Form ADVobserved 3 days ago
$-393M
Occurred
Feb 21, 2022
Control person left
William David James (Co-Trustee) no longer on Schedule A of James Investment Research Inc (listed 2022-01-21, absent 2022-02-21)
Form ADVobserved 3 days ago
Occurred
Jan 12, 2022
Succession filed (Item 4)
James Investment Research Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago
Occurred
Jan 12, 2022
Control person joined
Brian Richard Culpepper (President) appeared on Schedule A of James Investment Research Inc
Form ADVobserved 3 days ago
Occurred
Dec 14, 2020
Regulatory AUM changed
James Investment Research Inc reported RAUM $1.6B, down 26% from $2.1B (2020-06-23 to 2020-12-14)
Form ADVobserved 3 days ago
$-549M
Occurred
Jan 13, 2020
Control person left
Marie Ann Shaw-Kremer (Chief Operating Officer) no longer on Schedule A of James Investment Research Inc (listed 2019-12-11, absent 2020-01-13)
Form ADVobserved 3 days ago
Occurred
Apr 9, 2019
Regulatory AUM changed
James Investment Research Inc reported RAUM $2.6B, down 31% from $3.8B (2018-12-17 to 2019-04-09)
Form ADVobserved 3 days ago
$-1.2B
Occurred
Apr 9, 2019
Control person left
E Francis James (Chairman/Owner) no longer on Schedule A of James Investment Research Inc (listed 2018-12-17, absent 2019-04-09)
Form ADVobserved 3 days ago
Occurred
Apr 9, 2019
Control person joined
Rae Iris James (Trustee) appeared on Schedule A of James Investment Research Inc
Form ADVobserved 3 days ago
Occurred
Apr 9, 2019
Control person joined
William David James (Co-Trustee) appeared on Schedule A of James Investment Research Inc
Form ADVobserved 3 days ago
Occurred
Apr 9, 2019
Control person joined
Edward Francis James (Co-Trustee) appeared on Schedule A of James Investment Research Inc
Form ADVobserved 3 days ago
Occurred
Dec 17, 2018
Regulatory AUM changed
James Investment Research Inc reported RAUM $3.8B, down 27% from $5.2B (2018-01-02 to 2018-12-17)
Form ADVobserved 3 days ago
$-1.4B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91a0ca72-bef8-c184-010e-57281a78fda1
First observed: Nov 15, 2011
Last observed: May 18, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES INVESTMENT RESEARCH INC

CRD 110433

XENIA, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91a0ca72-bef8-c184-010e-57281a78fda1

Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD BRIAN CULPEPPER

n/a

XENIA, OH

n/a

TRENT DEVAUN DYSERT

Chartered Financial Analyst

XENIA, OH

DIANE MARIE ROSE

n/a

XENIA, OH

n/a

BRIAN PHILIP SHEPARDSON

Chartered Financial Analyst|Chartered Investment Counselor

XENIA, OH

n/a

ANNETTE MARIE QUINTER

n/a

XENIA, OH

n/a

LESLEY DAWN OTT

n/a

XENIA, OH

yes

RYAN MICHAEL POST

n/a

XENIA, OH

David James McGowan

n/a

XENIA, OH

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CULPEPPER, RICHARD, BRIAN

PRESIDENT (JAN. 2022) & CEO (NOV.

yes

01/2022

May 18, 2026

FRANK E JAMES JR. TRUST IRIS R.

Owner

yes

03/1986

May 18, 2026

JAMES, BARRY, RAY

CHAIRMAN OF THE BOARD

yes

01/1995

May 18, 2026

OTT, LESLEY, DAWN

CHIEF COMPLIANCE OFFICER (JAN.

yes

01/2012

May 18, 2026

FRANK E JAMES JR. TRUST IRIS R. JAMES TRUSTEE DTD 03/05/1986

Owner

yes

03/1986

Apr 9, 2019

Dec 19, 2024

JAMES, BARRY, RAY

CO-TRUSTEE

yes

04/2019

Feb 7, 2013

Dec 19, 2024

JAMES, FRANCIS, EDWARD

CO-TRUSTEE

yes

04/2019

Apr 9, 2019

Dec 19, 2024

JAMES, IRIS, RAE

Trustee

yes

03/2019

Apr 9, 2019

Dec 19, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Dec 19, 2024

$1.2B

$1.1B

n/a

2023

Jan 2, 2024

$1.1B

$1.0B

n/a

2022

Dec 22, 2022

$1.1B

n/a

2021

Dec 17, 2021

$1.4B

$1.2B

n/a

2020

Dec 14, 2020

$1.6B

$1.3B

n/a

2019

Dec 11, 2019

$2.1B

$1.7B

n/a

2018

Dec 17, 2018

$3.8B

$3.1B

n/a

2017

Jan 2, 2018

$5.2B

$4.4B

n/a

2016

Dec 20, 2016

$6.4B

$5.4B

n/a

2015

Dec 17, 2015

$6.5B

$5.5B

n/a

2014

Dec 15, 2014

$5.6B

$4.7B

n/a

2013

Dec 18, 2013

$4.5B

$3.7B

n/a

2012

Dec 20, 2012

$3.4B

$2.7B

n/a

2011

Nov 15, 2011

$2.6B

$2.0B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

12.5%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$1.2B

$1.1B

14.3%

$1.4B

-5.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

JAMES CAPITAL ALLIANCE INC

Dec 31, 2021

Jan 7, 2022

XENIA, OH

Firm absorbed

RIA to RIA

75.0%