James Capital Alliance Inc (Xenia)

Name: James Capital Alliance Inc
Address: 1349 Fairground Road, Xenia, OH, 45385 9514
Telephone: 937-429-7384

James Capital Alliance Inc is a large advisory firm based in Xenia. It manages $535.9 million of regulatory assets for 2,292 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, California, and 29 other states.

James Capital Alliance provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

James Capital Alliance: assets under management

The assets under management (AUM) of James Capital Alliance Inc is $535.9 million. The firm's AUM has grown by 1786% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $505.38 million in discretionary accounts and $30.52 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $237.16 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $189.59 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 59% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 36% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay James Capital Alliance Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael James Mcgraw serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Michael James Mcgraw is individuals with 2,037 clients and $434.82 million of assets under management. Among the 8 most similar advisory firms, James Capital Alliance has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $503.63 million for 2,128 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

James Capital Alliance doesn't advise any private funds.

Careers at James Capital Alliance Inc

The company employs 8 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael James Mcgraw has been acting as President since 1 Dec 2005. Lesley Dawn Ott joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Francis E James	Director	1 Feb 1992	25% - 50%	2253997
Ann Marie Shaw Kremer	Director, secretary/treasurer	1 Feb 1992	Other	2253982
Barry Ray James	President, director	1 Feb 1992	Other	2254123
Ann Shaw	Director, secretary/treasurer	1 Feb 1992	Other	2253982
Michael James Mcgraw	Vice president	1 Jul 1997	Other	2283229
Barry Ray James	Chief executive officer, director	1 Dec 2005	Other	2254123
Michael James Mcgraw	President	1 Dec 2005	Other	2283229
Lesley Dawn Ott	Chief compliance officer	1 Jan 2012	Other	5828416

Based in Xenia

The principal office where James Capital Alliance Inc performs its advisory services is located at 1349 Fairground Road, Xenia, OH 45385 9514 The mailing address of the firm is P.O. Box 12, Alpha, OH 45301 0012. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 937-429-7384 or by fax 937-429-7386. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at jamescapital.com.