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JAMES INVESTMENT RESEARCH INC
CRD 110433File 801-12359
APPROVED
Retail clients
Custody
Filing as of May 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.21B
Above cohort median (national)
Discretionary AUM
$1.18B
Non-discretionary $35.0M
Clients
431
692 accounts
Employees
15
Top 25% of cohort in OH
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Oct 2, 1976
- Principal office
- 1349 FAIRGROUND ROAD, XENIA, OH, 45385
- Phone
- 937-426-7640
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.21B
- Discretionary AUM
- $1.18B
- Non-discretionary AUM
- $35.0M
- Discretionary accounts
- 657
- Non-discretionary accounts
- 35
- Total accounts
- 692
- AUM per client
- $2.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 14 | $43.8M |
| Investment companies | 1 | $551.4M |
| Charitable organizations | 12 | $38.4M |
| High net worth individuals | 109 | $463.1M |
| Pension and profit sharing plans | Fewer than 5 | $5.8M |
| Individuals (other than high net worth individuals) | 295 | $104.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — PROJECT-BASED FEES
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jan 1, 2026 | Employees | 14 | 15 | increased by1 |
| Jan 1, 2026 | Clients | 351 | 431 | increased by80 |
| Jan 1, 2026 | AUM | $1,165,234,618 | $1,211,598,322 | increased by$46,363,704 |
| Jan 1, 2026 | Accounts | 681 | 692 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 18 | 14 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 938 | 351 | decreased by587 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,464,157,338 | $1,165,234,618 | decreased by$298,922,720 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 938 | 681 | decreased by257 |
| Mar 1, 2022 | Employees | 19 | 18 | decreased by1 |
| Feb 1, 2022 | Employees | 16 | 19 | increased by3 |
| Feb 1, 2022 | Clients | 144 | 938 | increased by794 |
| Feb 1, 2022 | AUM | $1,444,300,000 | $1,464,157,338 | increased by$19,857,338 |
| Feb 1, 2022 | Accounts | 212 | 938 | increased by726 |
| Jan 1, 2022 | Clients | 156 | 144 | decreased by12 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “JAMES INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“JAMES INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.