James River Asset Management, Llc
- Regulatory AUM
- $274M
- Discretionary
- $254M
- Clients
- 420
- Avg AUM / client
- $652K
- Accounts
- 1,254
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 307 | $84.7M | 30.9% |
| High net worth individuals | 104 | $185M | 67.4% |
| Charitable organizations | 6 | $2.6M | 0.95% |
| Corporations and other businesses | 3 | $1.9M | 0.68% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alvin Hudson Miller | Chief Operating Officer | Oct 1995 (31y) | Less than 5% | |
| Charles Edward Clement | President And Chief Operating Officer | Jul 2019 (7y) | Less than 5% | |
| Lucas Lee Swygard | President/Senior Financial Advisor | Jan 2024 (3y) | 75% or more | |
| Orr, Sally, Shannon | Chief Compliance Officer, Director Of Operations | Jan 2024 (3y) | Less than 5% | |
| Kelly Gannon | Registered representative | CFP | Jan 2023 (4y) | |
| Grant Alan Thigpen | Registered representative | Mar 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 904 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $206M (75% of AUM) Mar 2026
- Principal Life Insurance Company $25.1M (12% of AUM) Nov 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 05, 2026.
View current Form ADV (SEC/IAPD) ↗