{"url":"https://nivawealth.com/firms/james-river-asset-management-117917","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/117917","regulatoryAum":273776635,"crd":"117917","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6700338","suffix":null,"lastName":"Gannon","firstName":"Kelly","middleName":null},{"crd":"1074249","suffix":"Jr.","lastName":"Miller","firstName":"Alvin","middleName":"Hudson"},{"crd":"5752897","suffix":null,"lastName":"SWYGARD","firstName":"LUCAS","middleName":"LEE"},{"crd":"8031301","suffix":null,"lastName":"Thigpen","firstName":"Grant","middleName":"Alan"}],"total":4,"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":"2021-06-09","regulatoryAum":146513885,"clients":119,"employees":7,"offices":1},{"filedOn":"2022-03-17","regulatoryAum":208876722,"clients":311,"employees":12,"offices":1},{"filedOn":"2023-07-11","regulatoryAum":163458054,"clients":328,"employees":11,"offices":1},{"filedOn":"2024-04-02","regulatoryAum":149107917,"clients":344,"employees":10,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":235964765,"clients":408,"employees":9,"offices":1},{"filedOn":"2026-08-05","regulatoryAum":273776635,"clients":420,"employees":9,"offices":1}],"secFileNumber":"801-112743","legalName":"James 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services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053984","versionId":1053984,"submittedOn":"2026-08-05","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Financial Planning","summary":"A fixed fee, generally $1,500 to $5,000 and negotiable, with half due in advance and the balance on completion of the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053984","versionId":1053984,"submittedOn":"2026-08-05","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:41:39.525834+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053984","versionId":1053984,"submittedOn":"2026-08-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":206406640}],"custodyNote":"James River Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Lucas Swygard","title":"President/Senior Financial Advisor","crd":"5752897"},{"name":"Sally Orr","title":"Chief Compliance Officer","crd":"5498407"}],"ownership":[{"label":"Lucas Swygard","detail":"President/senior financial advisor in the 75% or more ownership band and a control person, since January 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"15521 Midlothian TNPK., Suite 100","city":"Midlothian","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"804-323-0517","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Other"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":18}],"privateFunds":0},"sources":{"adv1FilingDate":"5 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/117917/PDF/117917.pdf","brochureDate":"5 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053984","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 River Asset Management have?","answer":"James River Asset Management has 420 clients and manages $274 million for them, as of August 2026. They include 307 individual clients, 104 high-net-worth individuals and 6 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does James River Asset Management offer?","answer":"James River Asset Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does James River Asset Management use?","answer":"James River Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $206M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does James River Asset Management have?","answer":"James River Asset Management has 4 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.","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 River Asset Management invest in?","answer":"At the end of its last fiscal year, James River Asset Management’s separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 18% cash and equivalents, 7% exchange-traded equities, 1% U.S. government and agency bonds and 1% pooled vehicles (private funds and similar).","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":"Who owns James River Asset Management?","answer":"James River Asset Management’s direct owner is Lucas Swygard (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does James River Asset Management get paid?","answer":"James River Asset Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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 River Asset Management?","answer":"James River Asset Management’s main office is at 15521 Midlothian TNPK., Suite 100, Midlothian, VA 23113. Its phone number is 804-323-0517. Its website is jamesriverwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 August 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."}