SEC-registered wealth management firm Broker-dealer affiliated
James I. Black & Company
As of its Form ADV filed February 6, 2026, James I. Black & Company, an SEC-registered, broker-dealer affiliated wealth management firm in Lakeland, Florida, reported $144.1 million in regulatory assets under management across 130 accounts, ranking #477 among all wealth firms in Florida by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 1249
- SEC file number
- 801-118955
- Registered since
- July 28, 2020
- Latest Form ADV filing
- February 6, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $144.1 million
- Discretionary
- $0 (0.0%)
- Non-discretionary
- $144.1 million
- Accounts
- 130 (0 discretionary)
- Clients
- 130, approximate as reported
- Employees
- 10
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $1.1 million
- Asset growth, 1 year
- 1.0% (from $142.6 million a year earlier)
- Asset growth, 3-year annual rate
- 2.6% (from $133.3 million three years earlier)
- Asset growth, 5-year annual rate
- 4.3% (from $116.9 million five years earlier)
- Client growth, 1 year
- -5.8% (from 138)
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, 2020 | $0 |
| October 4, 2021 | $116.9 million |
| October 3, 2022 | $123.8 million |
| October 5, 2023 | $133.3 million |
| October 1, 2024 | $131.8 million |
| September 2, 2025 | $142.6 million |
| October 2, 2026 | $144.1 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 42 clients | $114.5 million | |
| Individuals (other than high net worth) 88 clients | $29.6 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Commodity pool operator or commodity trading advisor
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $288.1 million in total.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: CFP 1.
2 of the firm's 2 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 4 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 Florida
| Firm | City | RAUM |
|---|---|---|
| Spyrnal Financial Group | Bokeelia | $145.5 million |
| Private Lane Capital, LLC | Key Biscayne | $144.1 million |
| Todo Capital, LLC | Key Biscayne | $143.6 million |
| Cypress Capital | Tallahassee | $143.2 million |
| Gerstemeier Financial Group,llc | Naples | $143.0 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- James I. Black & Company on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.jamesiblack.com
- Wealth management firms in Florida
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.