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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

JAMES CAPITAL ALLIANCE INC

CRD 107078

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:a033dcbd-7bae-5754-7097-df48bbe0798d

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 15, 2012 to Mar 16, 2021
11 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $274MItem 5.F on the latest filing (2021-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $263M
Private client RAUM: $252MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,032
Individual clients: 927
High net worth clients: 23
SEC number: 801-42655
CRD: 107078
Filings on the tape: 11
First filed: Mar 15, 2012
Latest filed: Mar 16, 2021
Organised: Corporation, Ohio

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
JAMES, BARRY, RAY	CHIEF EXECUTIVE OFFICER, DIRECTOR	C	yes	12/2005	Mar 15, 2012	Mar 16, 2021
MCGRAW, MICHAEL, JAMES	President	Na	yes	12/2005	Mar 15, 2012	Mar 16, 2021
OTT, LESLEY, DAWN	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Mar 15, 2012	Mar 16, 2021
SHAW-KREMER, ANN, MARIE	DIRECTOR, SECRETARY/TREASURER	C	yes	02/1992	Mar 15, 2012	Mar 16, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JAMES INVESTMENT RESEARCH INC	n/a	Mixed wealth	$1.2B	N	yes	n/a

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
2020	Mar 16, 2021	$274M	$263M	7	2	0	n/a	n/a
2019	Feb 27, 2020	$421M	$392M	7	2	0	n/a	n/a
2018	Mar 6, 2019	$536M	$505M	8	2	0	n/a	n/a
2017	Mar 9, 2018	$786M	$745M	8	2	0	n/a	n/a
2016	Mar 13, 2017	$939M	$896M	9	2	n/a	n/a	n/a
2015	Mar 11, 2016	$1.0B	$961M	9	2	n/a	n/a	n/a
2014	Mar 9, 2015	$970M	$930M	8	2	n/a	n/a	n/a
2013	Mar 13, 2014	$841M	$841M	8	2	n/a	n/a	n/a
2012	Mar 5, 2013	$702M	$702M	8	2	n/a	n/a	n/a
2011	Mar 15, 2012	$646M	$646M	n/a	n/a	n/a	n/a	n/a

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
2020	$274M	$421M	-34.8%	$786M	-29.6%	7	7	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

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

Relationships

Affiliated with (1)

→ JAMES INVESTMENT RESEARCH INCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← SHAW-KREMER, ANN, MARIEOwnerDIRECTOR, SECRETARY/TREASURER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV
← JAMES, BARRY, RAYOwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV
← MCGRAW, MICHAEL, JAMESOwnerPRESIDENT, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← OTT, LESLEY, DAWNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV

Moved with (1)

→ JAMES INVESTMENT RESEARCH INCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2021 to Jan 7, 2022factForm ADV

Registered with (6)

← CLARE THIELENAdvisorregistration: previous registration
Jun 10, 2003 to Dec 31, 2021factForm ADV
← LESLEY DAWN OTTAdvisorregistration: previous registration
Mar 9, 2011 to Dec 31, 2021factForm ADV
← RYAN MICHAEL POSTAdvisorregistration: previous registration
Nov 1, 2012 to Dec 31, 2021factForm ADV
← David James McGowanAdvisorregistration: previous registration
Nov 15, 2016 to Dec 31, 2021factForm ADV
← TROY ARTHUR PRENGERAdvisorregistration: previous registration
Jun 10, 2013 to Jun 3, 2019factForm ADV
← MICHAEL LESTER MCGOWANAdvisorregistration: previous registration
Feb 8, 2010 to Aug 31, 2012factForm ADV

Dated events

Occurred
Mar 16, 2021
Regulatory AUM changed
James Capital Alliance Inc reported RAUM $274.3M, down 35% from $420.9M (2020-06-23 to 2021-03-16)
Form ADVobserved 4 days ago
$-147M
Occurred
Feb 27, 2020
Control person left
E Francis James (Director) no longer on Schedule A of James Capital Alliance Inc (listed 2019-03-06, absent 2020-02-27)
Form ADVobserved 4 days ago
Occurred
Mar 6, 2019
Regulatory AUM changed
James Capital Alliance Inc reported RAUM $535.9M, down 32% from $786.0M (2018-03-09 to 2019-03-06)
Form ADVobserved 4 days ago
$-250M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a033dcbd-7bae-5754-7097-df48bbe0798d
First observed: Mar 15, 2012
Last observed: Mar 16, 2021 67 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 CAPITAL ALLIANCE INC

CRD 107078

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:a033dcbd-7bae-5754-7097-df48bbe0798d

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JAMES, BARRY, RAY

CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

12/2005

Mar 15, 2012

Mar 16, 2021

MCGRAW, MICHAEL, JAMES

President

yes

12/2005

Mar 15, 2012

Mar 16, 2021

OTT, LESLEY, DAWN

CHIEF COMPLIANCE OFFICER

yes

01/2012

Mar 15, 2012

Mar 16, 2021

SHAW-KREMER, ANN, MARIE

DIRECTOR, SECRETARY/TREASURER

yes

02/1992

Mar 15, 2012

Mar 16, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAMES INVESTMENT RESEARCH INC

n/a

Mixed wealth

$1.2B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 16, 2021

$274M

$263M

n/a

2019

Feb 27, 2020

$421M

$392M

n/a

2018

Mar 6, 2019

$536M

$505M

n/a

2017

Mar 9, 2018

$786M

$745M

n/a

2016

Mar 13, 2017

$939M

$896M

n/a

2015

Mar 11, 2016

$1.0B

$961M

n/a

2014

Mar 9, 2015

$970M

$930M

n/a

2013

Mar 13, 2014

$841M

n/a

2012

Mar 5, 2013

$702M

n/a

2011

Mar 15, 2012

$646M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$274M

$421M

-34.8%

$786M

-29.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

JAMES INVESTMENT RESEARCH INC

Dec 31, 2021

Jan 7, 2022

XENIA, OH

Firm absorbed

RIA to RIA

75.0%