JAMES I. BLACK & COMPANY
Adviser information for JAMES I. BLACK & COMPANY last updated from Form ADV on February 12th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 137 | $131.8M |
| Total | 137 | $131.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 105 | $39.1M |
| HNW Individuals | 32 | $92.8M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesNEGOTIABLE |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-118955 |
|---|---|
| SEC ERA File Number | 801-118955 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 1249 |
| Legal Entity Identifier | None |
Principal Office
311 SOUTH FLORIDA AVENUELAKELAND
FL
United States
Monday - Friday, 8:30 - 4:00
Tel: 863-686-4163, Fax: None
Websites
Chief Compliance Officer
GERALD BLACK
PRESIDENT, CCO
311 SOUTH FLORIDA AVENUE
LAKELAND
FL
United States
Tel:
869-686-4163
G****@**************M
(Full email address available in API data)
Industry Affiliates
| ITB CAPITAL ADVISORS, LLC | Commodity pool operator or commodity trading advisor |
| ITB CAPITAL MANAGEMENT, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BLACK, GERALD LEROY | Individual | – | PRESIDENT AND DIRECTOR | 11/2006 | 25-50% |
| LYONS, DORIS BLACK | Individual | – | TREASURER | 02/2008 | 10-25% |
| BLACK, JAMES ISSAC III | Individual | – | OWNER | 02/2008 | 10-25% |
| CHARLES, REBECCA B | Individual | – | OWNER | 02/2008 | 10-25% |
| STEADMAN, NATASHA LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2011 | < 5% |
| DEAN, JEFFREY MILLER | Individual | – | DIRECTOR | 06/2011 | < 5% |
| BLACK, KATHARINE ANN | Individual | – | OWNER | 08/2014 | 5-10% |
| BLACK, STEPHANIE MARIE | Individual | – | OWNER | 08/2014 | 5-10% |
| BLACK, JENNIFER LEIGH | Individual | – | OWNER | 08/2014 | 5-10% |