JAMES INVESTMENT RESEARCH INC

CRD

110433

SEC file #

801-12359

EIN

310891459

DBA names

—

Economics

AUM

$1.21B

AUM band

$1B+

AUM trajectory

'20 · $2.11B

'21 · $1.56B

'22 · $1.46B

'23 · $1.07B

'25 · $1.17B

'26 · $1.21B

'20'26

$2.11B → $1.21B▼ -43%

sec adv history

Client mix

Individuals Other	295
Individuals High Net Worth	109
Corporations	14
Charitable Organizations	12
Investment Companies	1

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 9 advisors

'21 · 8 advisors

'22 · 7 advisors

'23 · 8 advisors

'25 · 8 advisors

'26 · 8 advisors

'20'26

9 advisors → 8 advisors▼ -11%

sec adv history

Primary office

XENIA OH

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses

Fee basis

% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing

12/18/2025

youtube.com/channel/ucxtypmcv8houdku5bn-urbq

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

FRANK E JAMES JR. TRUST IRIS R.

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

FRANK E JAMES JR. TRUST IRIS R.

CULPEPPER, RICHARD, BRIAN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:youtube.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Form 5500 Plan Count

Form 5500 Total Compensation

23,448

Form 5500 Compensation Trajectory 3y

2025

23,448

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

23,448

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0000810384

Edgar Registered

Yes

Edgar Filing Count

121

Edgar First Filing Date

1999-04-23

Edgar Last Filing Date

2026-04-24

Edgar 13f Count

111

Edgar 13f Latest AUM Estimate

Filing Date2026-04-24

Accession0000810384-26-000003

Edgar Former Names

JAMES INVESTMENT RESEARCH INC

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.2309

Soi Zip Pct 200k Plus

0.0637

Soi Zip Returns 200k Plus

1,190

Soi Zip Total AGI

1,524,779

Fdic Zip Total Deposits

12,776,292,000

Fdic Zip Branch Count

338

Fdic Zip Top Banks

Fifth Third Bank

The Park National Bank

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	10
Fidelity	4
Morgan Stanley	4
E*trade	4
Pershing	2

adv brochure

Edgar Addresses

Mailing

P O BOX 8ALPHA, OH 45301

Business

1349 FAIRGROUND RDP O BOX 8ALPHA, OH 45301

Edgar EIN

310891459

Edgar Recent Filings

13F-HR2026-04-24 · 0000810384-26-000003

13F-HR2026-01-29 · 0000810384-26-000001

Fdic Zip Branches Raw

Society National BankXenia, OH

Fdic Zip HHI

781.75

Fdic Zip Top Bank Share Pct

12.86

Fdic Zip Year

2025

Firm Has Custody

Yes

Mailing Office Differs

Yes

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	63,481
Returns	5,000

Stub 2

AGI	167,019
Returns	4,520

Stub 3

AGI	179,943
Returns	2,930

Soi Zip Total Business Income

46,385

Soi Zip Total Cap Gains

79,041

Soi Zip Total Dividends

26,809

Soi Zip Total Returns

18,670

Trust Company Affiliate