{"url":"https://nivawealth.com/firms/james-scott-s-105861","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105861","regulatoryAum":139382237,"crd":"105861","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1588816","suffix":null,"lastName":"JAMES","firstName":"SCOTT","middleName":"SNYDER"},{"crd":"8047557","suffix":null,"lastName":"James","firstName":"Tyler","middleName":"Sun"},{"crd":"2360062","suffix":null,"lastName":"SCANLAN","firstName":"MARY","middleName":"LYNN"}],"total":3,"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":"2022-02-22","regulatoryAum":107853176,"clients":111,"employees":3,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":85706843,"clients":118,"employees":3,"offices":1},{"filedOn":"2024-03-22","regulatoryAum":91553175,"clients":116,"employees":3,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":125246782,"clients":135,"employees":3,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":139382237,"clients":139,"employees":3,"offices":1}],"secFileNumber":"801-123515","legalName":"James Scott S Co","displayName":"James Scott S","slug":"james-scott-s-105861","website":"https://scottjamesgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Virginia corporation","fiscalYearEnd":"December","headquarters":{"street":"6700 Arlington BLVD","city":"Falls Church","state":"VA","stateName":"Virginia","country":"United States","postalCode":"22042"},"tradeNames":[],"registration":{"secApproved":"25 March 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1002749.9064748201,"staff":{"employees":3,"advisory":2,"brokerDealerReps":2,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":139382237,"discretionary":131870669,"discretionaryAccounts":249,"nonDiscretionary":7511568,"nonDiscretionaryAccounts":18,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":54,"regulatoryAum":16242970},{"label":"High-net-worth individuals","clients":85,"regulatoryAum":123139267}],"feePrograms":[{"role":"main","program":"Portfolio management and financial planning","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":1000000,"pct":0.75,"from":500000},{"to":null,"pct":0.5,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061592","versionId":1061592,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-10-19","documentName":"THE SCOTT S. JAMES COMPANY","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Trustee services","summary":"Trustee services are charged 1% a year, billed quarterly at .25% of the average month-end balance, in addition to the management fee and subject to negotiation.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061592","versionId":1061592,"submittedOn":"2026-10-19","documentName":"THE SCOTT S. JAMES COMPANY"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:49:07.169564+00:00","documents":[{"name":"THE SCOTT S. JAMES COMPANY","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061592","versionId":1061592,"submittedOn":"2026-10-19"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":139382237}],"custodyNote":"James Scott S has custody of $30.2M in client assets for 11 clients.","leadership":[{"name":"Scott James","title":"President, Chief Compliance Officer","crd":"1588816"}],"ownership":[{"label":"Scott James","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since March 1993."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"6700 Arlington BLVD","city":"Falls Church","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"703-533-2500","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":57},{"label":"U.S. state and local bonds","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":22}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105861/PDF/105861.pdf","brochureDate":"19 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061592","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 Scott S have?","answer":"James Scott S has 139 clients and manages $139 million for them, as of March 2026. They include 85 high-net-worth individuals and 54 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does James Scott S offer?","answer":"James Scott S 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 Scott S charge?","answer":"James Scott S charges 0.50%–1.00% a year for its Portfolio management and financial planning. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"THE SCOTT S. JAMES COMPANY, filed 19 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does James Scott S use?","answer":"James Scott S’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $139M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does James Scott S have?","answer":"James Scott S has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 3 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 Scott S invest in?","answer":"At the end of its last fiscal year, James Scott S’s separately managed accounts held 57% exchange-traded equities, 22% cash and equivalents, 12% registered funds (mutual funds, ETFs, BDCs) and 9% state and local bonds.","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 Scott S?","answer":"James Scott S’s direct owner is Scott James (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does James Scott S get paid?","answer":"James Scott S is paid through a percentage of assets under management and hourly charges. 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":"Is James Scott S registered with the SEC?","answer":"Yes, James Scott S has been registered with the SEC as an investment adviser since 25 March 2022. Its CRD number is 105861 and its SEC file number is 801-123515.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact James Scott S?","answer":"James Scott S’s main office is at 6700 Arlington BLVD, Falls Church, VA 22042. Its phone number is 703-533-2500. Its website is scottjamesgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}