James Investment Research Inc

CRD#110433
Investment Advisor Firm

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Learn more about James Investment Research Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    James Investment Research Inc is located at 1349 Fairground Road, Xenia, OH. The firm employs 7 financial advisors to manage client portfolios and provide financial guidance. James Investment Research Inc is not a registered broker-dealer.

    James Investment Research Inc oversees $1.1 billion in assets under management across 756 accounts, of which 727 are discretionary and 29 are non-discretionary. Over the past year, the firm has provided financial planning services to between 26 and 50 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients, and other services. The firm caters to retail investors, high net worth investors, investment companies, pension plans, charitable organizations, corporations, and other types of investors, with retail investors being the largest client type by accounts. The fee structure at James Investment Research Inc includes asset-based, hourly, and fixed fees. The firm has 68 high net worth clients.

    James Investment Research Inc is registered in the states of Alabama, California, Colorado, Florida, Georgia, Indiana, Kentucky, Louisiana, Maryland, Michigan, Missouri, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia.

    Assets Under Management

    $1.1 billion

    Number of Advisors

    7

    Disclosures

    No

    Office Location

    1349 Fairground Road
    Xenia, OH 45385

    James Investment Research Inc by the Numbers

    Total Assets Under Management

    $1.1 billion

    National Average: $8.6 billion
    Total Number of Employees

    15

    National Average: 64
    Total Number of Accounts

    756

    National Average: 375,227
    Average Account Size

    $1.4 million

    National Average: $23.0 thousand
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    Products and Services

    James Investment Research Inc offers multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients, and other services. In the prior fiscal year, James Investment Research Inc provided 26-50 of its customers with financial planning services. The Company is not engaged in selling products or offering services aside from investment advisory services to its investment advisory accounts.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Fees for financial advice usually depend on which services are provided. Fees charged by James Investment Research Inc likely include some combination of the following fee structures: asset-based, hourly, or fixed. The company participates in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm does business with a broad range of clients. It caters to retail investors, high net worth investors, investment companies, pension plans, charitable organizations, corporations, and other. Out of its 7 clients, James Investment Research Inc's largest client type by number of accounts is investment companies, although it also caters to 68 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 13.44%
    • Other Individuals - 79.05%
    • Corporations - 5.53%
    • Charitable Organizations - 1.98%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    James Investment Research Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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