SEC-registered wealth management firm Broker-dealer affiliated
The Scott S. James Company
As of its Form ADV filed March 30, 2026, The Scott S. James Company, an SEC-registered, broker-dealer affiliated wealth management firm in Falls Church, Virginia, reported $139.4 million in regulatory assets under management across 267 accounts, ranking #182 among all wealth firms in Virginia by assets.
Registration
- Main office
- Falls Church, VA
- Registration
- SEC-registered, Approved
- CRD number
- 105861
- SEC file number
- 801-123515
- Registered since
- March 25, 2022
- Latest Form ADV filing
- March 30, 2026
- Legal name
- JAMES SCOTT S CO
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $139.4 million
- Discretionary
- $131.9 million (94.6%)
- Non-discretionary
- $7.5 million
- Accounts
- 267 (249 discretionary)
- Clients
- 139, approximate as reported
- Employees
- 3
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $522,031
- Asset growth, 1 year
- 11.3% (from $125.2 million a year earlier)
- Asset growth, 3-year annual rate
- 17.6% (from $85.7 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 3.0% (from 135)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $93.8 million |
| October 3, 2011 | $86.2 million |
| October 3, 2022 | $107.9 million |
| October 5, 2023 | $85.7 million |
| October 1, 2024 | $91.6 million |
| September 2, 2025 | $125.2 million |
| October 2, 2026 | $139.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 85 clients | $123.1 million | |
| Individuals (other than high net worth) 54 clients | $16.2 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported custody of client cash or securities, $30.2 million in total.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 3
Designations held by the firm's IARs: CFP 2.
0 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Virginia
| Firm | City | RAUM |
|---|---|---|
| Korving & Company LLC | Suffolk | $137.5 million |
| Forefront Asset Management, LLC | Virginia Beach | $136.9 million |
| River Crescent Advisors, LLC | Suffolk | $136.8 million |
| Harborpoint Wealth Partners | Virginia Beach | $136.4 million |
| Brighter Financial Capital Management, LLC | Reston | $135.1 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- The Scott S. James Company on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: scottjamesgroup.com
- Wealth management firms in Virginia
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.