ST. JAMES INVESTMENT ADVISORS, LLC
Adviser information for ST. JAMES INVESTMENT ADVISORS, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $68.6M |
| Non-Discretionary | 208 | $68,626 |
| Total | 216 | $68.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 159 | $36.6M |
| HNW Individuals | 32 | $26.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 24 | $6.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $65,807 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 216 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSUB ADVISER SERVICES |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 584,289 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| LOCKWOOD ADVISORS, INC | AMERICAN PORTFOLIOS |
Identifiers
| SEC RIA File Number | 801-107821 |
|---|---|
| SEC ERA File Number | 801-107821 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283880 |
| Legal Entity Identifier | None |
Principal Office
414 MAIN STREETSUITE 205
PORT JEFFERSON
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (631) 979-6520, Fax: (631) 382-8283
Websites
Chief Compliance Officer
JENNIFER ANN ABBONIZIO
CHIEF COMPLIANCE OFFICER
414 MAIN STREET
SUITE 205
PORT JEFFERSON
NY
United States
Tel:
(631) 979-6520 EXT. 208
Fax:
(631) 382-8283
J***@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARK, BRIAN, CHRISTOPHER | Individual | – | MANAGING MEMBER & PORTFOLIO MANAGER | 04/2016 | > 75% |
| ABBONIZIO, JENNIFER, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2018 | < 5% |
| Spicciatie, John, Andrew | Individual | – | EXECUTIVE DIRECTOR | 01/2019 | < 5% |