{"url":"https://nivawealth.com/firms/james-i-black-and-company-1249","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/1249","regulatoryAum":144067165,"crd":"1249","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"811414","suffix":null,"lastName":"BLACK","firstName":"GERALD","middleName":"LEROY"},{"crd":"1080117","suffix":null,"lastName":"CHRISTIAN","firstName":"JOHN","middleName":"MORGAN"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-02-09","regulatoryAum":116927228,"clients":140,"employees":9,"offices":1},{"filedOn":"2022-03-03","regulatoryAum":123770284,"clients":166,"employees":9,"offices":1},{"filedOn":"2023-02-28","regulatoryAum":133303451,"clients":141,"employees":9,"offices":1},{"filedOn":"2024-02-12","regulatoryAum":131822864,"clients":137,"employees":9,"offices":1},{"filedOn":"2025-02-07","regulatoryAum":142580974,"clients":138,"employees":10,"offices":1},{"filedOn":"2026-02-06","regulatoryAum":144067165,"clients":130,"employees":10,"offices":1}],"secFileNumber":"801-118955","legalName":"James I. Black & Company","displayName":"James I. Black & Company","slug":"james-i-black-and-company-1249","website":"https://jamesiblack.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"311 South Florida Avenue","city":"Lakeland","state":"FL","stateName":"Florida","country":"United States","postalCode":"33801"},"tradeNames":[],"registration":{"secApproved":"28 July 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1108208.9615384615,"staff":{"employees":10,"advisory":2,"brokerDealerReps":7,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":144067165,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":144067165,"nonDiscretionaryAccounts":130,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":88,"regulatoryAum":29610485},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":114456680}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.75,"from":1000000},{"to":5000000,"pct":0.5,"from":2000000},{"to":null,"pct":0.4,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006969","versionId":1006969,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-06","documentName":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE","fee_rate_low":0.4,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":50000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Broad-Based Financial Plan","summary":"A broad based financial plan is charged a fixed fee of $2,500 to $5,000; a client may be asked to pay more in limited circumstances.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006969","versionId":1006969,"submittedOn":"2026-02-06","documentName":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE"},{"role":"other","program":"Hourly Consulting","summary":"Hourly consulting is charged at $300 to $500 an hour, with a minimum engagement of 5 hours.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006969","versionId":1006969,"submittedOn":"2026-02-06","documentName":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:36:34.052287+00:00","documents":[{"name":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006969","versionId":1006969,"submittedOn":"2026-02-06"}]},"custodians":[],"custodyNote":"James I. Black & Company has custody of $144M in client assets for 130 clients.","otherCustodians":[],"leadership":[{"name":"Gerald Leroy Black","title":"President and Director","crd":"811414"},{"name":"Natasha Lynn Steadman","title":"Chief Compliance Officer","crd":"5161387"},{"name":"James Issac III Black","title":"Owner","crd":""},{"name":"Katharine Ann Black","title":"Owner","crd":"6400616"},{"name":"Jennifer Leigh Black","title":"Owner","crd":"6400578"},{"name":"Stephanie Marie Black","title":"Owner","crd":"6395469"},{"name":"Rebecca B Charles","title":"Owner","crd":""},{"name":"Jeffrey Miller Dean","title":"Director","crd":""},{"name":"Doris Black Lyons","title":"Treasurer","crd":""}],"ownership":[{"label":"Gerald Leroy Black","detail":"President and director in the 25% to 50% ownership band and a control person, since November 2006."},{"label":"Doris Black Lyons","detail":"Treasurer in the 10% to 25% ownership band, since February 2008."},{"label":"James Issac III Black","detail":"Owner in the 10% to 25% ownership band, since February 2008."},{"label":"Rebecca B Charles","detail":"Owner in the 10% to 25% ownership band, since February 2008."},{"label":"Katharine Ann Black","detail":"Owner in the 5% to 10% ownership band, since August 2014."},{"label":"Stephanie Marie Black","detail":"Owner in the 5% to 10% ownership band, since August 2014."},{"label":"Jennifer Leigh Black","detail":"Owner in the 5% to 10% ownership band, since August 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"311 South Florida Avenue","city":"Lakeland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"863-686-4163","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Non-exchange-traded equity securities","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"6 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/1249/PDF/1249.pdf","brochureDate":"6 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006969","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does James I. Black & Company have?","answer":"James I. Black & Company has 130 clients and manages $144 million for them, as of February 2026. They include 88 individual clients and 42 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does James I. Black & Company offer?","answer":"James I. Black & Company provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does James I. Black & Company charge?","answer":"James I. Black & Company charges 0.40%–1.00% a year for its Portfolio Management Services. Each asset band is charged at its own rate. The fee is billed in arrears and requires an account of at least $50,000.","source":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE, filed 6 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does James I. Black & Company have?","answer":"James I. Black & Company has 2 investment adviser representatives registered with state securities authorities, out of 10 employees, and 2 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does James I. Black & Company invest in?","answer":"At the end of its last fiscal year, James I. Black & Company’s separately managed accounts held 100% non-exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does James I. Black & Company have a minimum investment?","answer":"Yes, James I. Black & Company’s minimum account size for its Portfolio Management Services is $50K.","source":"JAMES I BLACK FORM ADV PART 2 FIRM BROCHURE, filed 6 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns James I. Black & Company?","answer":"James I. Black & Company’s direct owners are Gerald Leroy Black, Doris Black Lyons, James Issac III Black, Rebecca B Charles, Katharine Ann Black, Stephanie Marie Black and Jennifer Leigh Black, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does James I. Black & Company get paid?","answer":"James I. Black & Company is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact James I. Black & Company?","answer":"James I. Black & Company’s main office is at 311 South Florida Avenue, Lakeland, FL 33801. Its phone number is 863-686-4163. Its website is jamesiblack.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}