DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
James Capital Alliance Inc
Latest filing Mar 16, 2021
First filing on the tape Mar 15, 2012 · 11 filings
RAUM
$274M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
92%
$252M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$274M as of Mar 16, 2021
Mar 15, 2012$646M then
HNW client RAUM$34.3M as of Mar 16, 2021
Mar 9, 2018$87.2M then
State-registered IARs (5.B.3)7 as of Mar 16, 2021
Mar 5, 20137 then
Employees (5.A)7 as of Mar 16, 2021
Mar 5, 20138 then
Private funds: no history
RAUM -35% over the last fiscal year-30% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
- RAUM per advisor
- $39.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $265,837derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$217M83%
- High-net-worth individuals$34.3M13%
- Corporations and businesses$5.6M2.2%
- Pension and profit-sharing plans$3.5M1.3%
- Charitable organizations$1.1M0.4%
- Individual clients
- 927reported
- HNW clients
- 23reported
- Pension plan clients
- 6reported
- Charitable clients
- 7reported
- Accounts
- 1,032reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $256M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Clare Thielen to Fidelity Personal And Workplace AdvisorsDec 31, 2021 · RIA to affiliated broker-dealer or bank
- Lesley Dawn Ott to James Investment Research IncDec 31, 2021 · RIA to RIA
- Ryan Michael Post to James Investment Research IncDec 31, 2021 · RIA to RIA
- David James Mcgowan to James Investment Research IncDec 31, 2021 · RIA to RIA
- Troy Arthur Prenger to Lincoln InvestmentJun 3, 2019 · RIA to affiliated broker-dealer or bank
- Michael Lester Mcgowan to Blackrock Investment Management, LLCAug 31, 2012 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for James Investment Research IncDec 31, 2021 · Xenia, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Barry James · Chief Executive Officer, Directorcontrolsince 12/2005 · owns 25% to 50%
- James Michael Mcgraw · Presidentcontrolsince 12/2005 · owns less than 5%
- Dawn Lesley Ott · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- Marie Ann Shaw-Kremer · Director, Secretary/Treasurercontrolsince 02/1992 · owns 25% to 50%
Related persons
Schedule D 7.A
- James Investment Research Incinvestment advisernRAUM $1.2B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,553 to 1,032Jun 23, 2020 to Mar 16, 2021
- Charity clients · 9 to 7Jun 23, 2020 to Mar 16, 2021
- Corporate clients · 22 to 15Jun 23, 2020 to Mar 16, 2021
- HNW clients · 27 to 23Jun 23, 2020 to Mar 16, 2021
- Individual clients · 1,355 to 927Jun 23, 2020 to Mar 16, 2021
- Pension plan clients · 14 to 6Jun 23, 2020 to Mar 16, 2021
- Discretionary RAUM · $392M to $263MJun 23, 2020 to Mar 16, 2021
- HNW RAUM · $42.1M to $34.3MJun 23, 2020 to Mar 16, 2021
- Individual RAUM · $328M to $217MJun 23, 2020 to Mar 16, 2021
- Non-discretionary RAUM · $28.7M to $10.9MJun 23, 2020 to Mar 16, 2021
- Pension RAUM · $8.8M to $3.5MJun 23, 2020 to Mar 16, 2021
- RAUM · $421M to $274MJun 23, 2020 to Mar 16, 2021
- Wrap assets (manager) · $391M to $256MJun 23, 2020 to Mar 16, 2021
- Accounts · 2,292 to 1,553Mar 6, 2019 to Feb 27, 2020
- Charity clients · 11 to 9Mar 6, 2019 to Feb 27, 2020
- Corporate clients · 26 to 22Mar 6, 2019 to Feb 27, 2020
- HNW clients · 29 to 27Mar 6, 2019 to Feb 27, 2020
- Individual clients · 2,037 to 1,355Mar 6, 2019 to Feb 27, 2020
- Pension plan clients · 25 to 14Mar 6, 2019 to Feb 27, 2020
- Employees · 8 to 7Mar 6, 2019 to Feb 27, 2020
- State-registered IARs · 8 to 7Mar 6, 2019 to Feb 27, 2020
- Discretionary RAUM · $505M to $392MMar 6, 2019 to Feb 27, 2020
- HNW RAUM · $41.8M to $42.1MMar 6, 2019 to Feb 27, 2020
- Individual RAUM · $435M to $328MMar 6, 2019 to Feb 27, 2020
- Non-discretionary RAUM · $30.5M to $28.7MMar 6, 2019 to Feb 27, 2020
- Pension RAUM · $14.1M to $8.8MMar 6, 2019 to Feb 27, 2020
- RAUM · $536M to $421MMar 6, 2019 to Feb 27, 2020
- Wrap assets (manager) · $504M to $391MMar 6, 2019 to Feb 27, 2020
- Accounts · 2,872 to 2,292Mar 9, 2018 to Mar 6, 2019
- Charity clients · 10 to 11Mar 9, 2018 to Mar 6, 2019
- Corporate clients · 32 to 26Mar 9, 2018 to Mar 6, 2019
- HNW clients · 55 to 29Mar 9, 2018 to Mar 6, 2019
- Individual clients · 2,739 to 2,037Mar 9, 2018 to Mar 6, 2019
- Pension plan clients · 32 to 25Mar 9, 2018 to Mar 6, 2019
- Discretionary RAUM · $745M to $505MMar 9, 2018 to Mar 6, 2019
- HNW RAUM · $87.2M to $41.8MMar 9, 2018 to Mar 6, 2019
- Individual RAUM · $658M to $435MMar 9, 2018 to Mar 6, 2019
- Non-discretionary RAUM · $40.7M to $30.5MMar 9, 2018 to Mar 6, 2019
- Pension RAUM · $19.5M to $14.1MMar 9, 2018 to Mar 6, 2019
- RAUM · $786M to $536MMar 9, 2018 to Mar 6, 2019
Signals
3 dated events
- James Capital Alliance Inc reported RAUM $274.3M, down 35% from $420.9M (2020-06-23 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- E Francis James (Director) no longer on Schedule A of James Capital Alliance Inc (listed 2019-03-06, absent 2020-02-27)Feb 27, 2020 · Control person left · inference
- James Capital Alliance Inc reported RAUM $535.9M, down 32% from $786.0M (2018-03-09 to 2019-03-06)Mar 6, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026