Celebrating 50 years with a $50K charitable giveaway

Learn More

Barry serves as Chairman of the Board. A senior member of the Investment Committee, he holds the team accountable to placing your interests first in both performance and service.

Barry makes sure research and decision making are in concert with your needs and the team is prepared to answer your questions such as: What is likely going to happen in the markets and how is your account positioned to handle those possibilities?

The most rewarding part of Barry's job is in knowing he has helped a family achieve their goals and dreams in a prudent manner. He believes we have a stewardship responsibility and wants you to know we treat your funds like our own. Both our compensation and company culture are focused on doing right by our clients and protecting your interests.

  • Over 35 years of experience, James team member since 1986
  • Chartered Financial Analyst (CFA)
  • Chartered Investment Counselor (CIC)
  • Certified Kingdom Advisor® (CKA)
  • M.B.A. Boston University
  • B.S. United States Air Force Academy

Ann has been involved in portfolio analysis and client service with James since 1978. Her longevity with the firm means she has experienced how James Investments' approach may benefit you as a client through a variety of market conditions.

Ann serves as an Investment Consultant and provides depth and knowledge to the committee. Her previous responsibilities included portfolio management, financial strategy, client services, operations and development.

Over the years, Ann's team contributions in leadership encompassed a broad spectrum of responsibility. Ann concentrates on problem solving with goals of providing clear and helpful solutions. She enjoys helping clients’ to facilitate an established path for their financial future.

  • Over 40 years of experience, James team member since 1978
  • Certified Financial Planner (CFP)
  • B.S. Capital University

David can clarify data results and answer your questions on a wide range of investment and research topics. For all clients, James' goal is to help deliver strong returns while avoiding excessive risk. This involves David updating James' security selection process, risk indicators and analyzing general economic or market conditions.

He provides research for our portfolio management team, searching out which investments are high risk, such as crypto-currencies, and where opportunities might be present. David enjoys the variety and constantly changing markets finding it exhilarating to examine the data and try to discover profitable trends or ideas that have not been widely discovered.

In general terms, people like to understand the James' process of investing: what options we select and why. David finds these among his most frequently asked questions and enjoys discussing these topics. He will tell you he is a BIG believer in the James' process and has invested both personal and retirement money into the same James' products as our clients.

  • Over 35 years of experience, James team member since 1981
  • Chartered Financial Analyst (CFA)
  • Took courses in Computer Science/Statistics - Florida State University and Wright State University

Tom’s 40 + years of experience brings additional depth to the James Investment team. Tom’s involvement on investment committee contributes input for international market perspectives to James’ macroeconomic overlay in both fixed income and equity securities. Prior to becoming an Investment Consultant for James Investment, Tom joined the firm in 1994 and served as a portfolio manager, investment committee member and senior vice president until he retired in December 2018. Although Tom is no longer serving in a full-time capacity, he remains a senior member of the investment committee.

Tom most commonly finds himself discussing or answering questions about needs for fixed income securities, general marketing information and economic data analysis. When it comes to finance he appreciates the fact there is never a dull moment. Things that may seem unimportant to most people can have a dramatic impact on stock and bond markets.

  • Over 40 years of experience
  • M.B.A. University of Notre Dame
  • B.S. Ohio State University

Brian serves as President and CEO of the company and has played a key role in growing the firm since joining the team in 1995. Brian's leadership role extends over several departments and encompasses an array of responsibilities including directing and implementing company policy. He also continues to manage client portfolios and serves as a senior member of the investment committee.

Brian has found the investment field's constant change creates a wonderful challenge with no two days the same. He finds meeting with clients and learning about your lives and financial dreams quite rewarding.

  • Over 25 years of experience, James team member since 1995
  • Chartered Mutual Fund Counselor (CMFC)
  • Certified Kingdom Advisor® (CKA)
  • M.B.A. Management Information Systems, Wright State University
  • B.S. Management Wright State University

When it comes to portfolio management, Brian emphasizes applying James’ established process of team active management. Each portfolio is tailored to your specific goals and objectives, which vary from client to client. The amount of risk taken depends solely on these constraints. He helps design those approximate risk levels and continually fine tunes them as your objectives change over time.

Brian’s leadership and team contributions encompass private portfolio management, analysis, fixed income, James’ product/style management and JAF Board of Trustee affairs. His tactical approach is to invest not to sell a product, but rather to better the client.

He is committed to your success and finds it rewarding when a client has a specific goal or funding need and James’ helps them achieve that goal. Brian enjoys it when clients withdraw money in order to spend it, because that’s usually why they started in the first place.

  • Over 20 years of experience, James team member since 1999
  • Chartered Financial Analyst, CFA
  • Chartered Investment Counselor, CIC
  • B.B.A. University of Cincinnati

To help meet your financial goals, Matt follows James’ active management and provides research and analysis for James’ portfolio management team. He contributes his knowledge to the team management of mid cap strategies. He is available to answer questions about James’ process, investment strategies and all James’ products.

Matt is frequently involved in analyzing prospective clients’ existing holdings and determining how appropriate they are in keeping the client’s objectives. As a research team member he helps develop, test and analyze weekly stock and bond market risk indicators utilized to guide James’ strategic and tactical allocation decisions. Matt also examines and measures the attractiveness of international markets.

He understands concerns about keeping a balance between your portfolio objectives and willingness to take on risk. Matt enjoys working with you to help you better understand confusing and sometimes counterintuitive topics.

  • Chartered Financial Analyst, (CFA)
  • Certified Public Accountant (CPA)
  • Certified Kingdom Advisor® (CKA)
  • James team member since 2007
  • BS Accounting and Finance, Magna Cum Laude Wright State University

Trent provides research and analysis for James’ portfolio management team examining possible investment opportunities to help meet your financial goals and objectives through James’ active management.

As a data analyst specialist Trent studies James’ proprietary stock ranking system which gives an initial reading of how attractive a security may be. He also helps develop, test and analyze weekly stock and bond market risk indicators used to help determine strategic and tactical allocation decisions. As a portfolio manager he is here to answer your questions regarding product information and often participates in conference calls regarding the current positioning of James’ funds and outlook for the future.

Trent appreciates the daily variety to be discovered in Finance, with no two days in the market ever the same. He enjoys the demands of constant analysis within the ever changing landscape and discovering factors that may project future market moves.

  • James team member since 2006
  • Chartered Financial Analyst (CFA)
  • B.S. Finance University of Dayton

Dr. Ainina is Deputy Director of Research, Vice President, and is a member of the Investment Committee. As a member of the James’ Research Team he contributes to data analysis, market reports, special studies and special projects. He is a former Professor and Chair of the Finance and Financial Services Department at Wright State University, Dayton, Ohio. His teaching interests included corporate finance, international finance, investments, options and futures. Dr. Ainina has published in the areas of corporate finance, leveraged buyouts, and investments in various journals in addition to co-authoring books.

Dr. Ainina has also served as an investment consultant for Premier Health Partners, a company who manages two of the largest hospitals in the Dayton area, and has provided financial management training for executives of Speedway SuperAmerica. He obtained an MBA from Ball State University and Ph.D. from Arizona State University. Dr. Ainina has also earned a Chartered Financial Analyst designation from the CFA Institute.

  • Chartered Financial Analyst (CFA)
  • Ph.D. Arizona State University
  • MBA Ball State University

Mike’s 25 + years of industry experience provide you an abundant resource of information and industry knowledge. He concentrates on building relationships with advisors and private clients to understand your specific needs and objectives in order to help find the best solution for your long term investment goals.

You are bound to have questions and concerns due to ever changing market conditions and personal goals. Mike coordinates the efforts of James’ relationship managers and marketing team to provide you materials and information relevant to current market conditions, performance and James’ products. When repetitive market questions arise and answers or solutions are not immediately evident, Mike communicates your questions to the attention of our Research and Investment Committee members for discussion.

Contact Mike for: advisor meetings or conference calls, seminars, regional wholesaler questions, James Investments products, webinars

  • Over 25 years of experience
  • James team member since 1995
  • FINRA Series 2, Series 63, Series 65, Series 6 and Series 7
  • B.S. Management, University of Dayton 1982

When considering how James’ available investment options may help you reach your financial goals, Clare’s 30 plus years of industry experience adds depth of knowledge and understanding to your process. To find your best investment solution she enjoys establishing a solid relationship foundation to accurately clarify your investment needs and objectives.

For advisors seeking answers to required Due Diligence procedures, you can work closely with Clare who has an understanding of the various firm platforms and placement.

Contact Clare for: account information, advisor meetings, James Investments product information, speaker/presentation requests, seminars, regional wholesale questions, platform questions or requests

  • Over 30 years of experience
  • James team member since 2003
  • FINRA Series 2, 63, 65, Series 6 and 7
  • B.S. Finance Wright State University

When determining your comfort levels relating to risk, returns and available investment options, Diane provides an in-depth historical perspective drawing from over 30 years of experience at James Investments. She can speak directly to a variety of strategies where different styles and methodology have been applied through all types of market conditions. Drawing from her involvement in several departments in the company from research and portfolio management to sales and marketing, she stresses the importance of education and client retention.

Diane sincerely enjoys serving others and helping you feel informed and confident when making investment decisions. She immerses herself in the process of reducing confusion that can surround finance by providing current, relevant data and educating advisors and private clients on the benefits of James Investment products.

Contact Diane for: account portfolio reviews/analysis; James product information and materials, presentation or speaking requests, client or advisor prospect seminars, assistance with client proposals and RFPs

  • Over 30 years of experience
  • James team member since 1986
  • FINRA Series 6, 63, and 65
  • B.S. Finance Wright State University

Whether you are unfamiliar with James Investments or are an established client, Neil operates as your liaison to James Investments’ process, information and people. He works closely with private clients, James’ portfolio managers, external advisors and James Advantage Funds shareholders.

Neil finds networking rewarding and believes meeting new people fosters growth. He understands you work hard for your money and strives to provide transparency, education and comfort to build your trust.

Contact Neil for: New and existing account service, marketing information, wholesale contact, private investing

  • James team member since 2013
  • FINRA Series 7, 6, 63, and 65 licenses
  • B.S. Accounting, Grove City College
  • M.B.A., University of Dayton

A member of your research and investment committee teams, Moustapha’s work helps James’ better analyze opportunity and risk levels of the general market and individual stocks.

Moustapha’s overall focus is on examining the equity market. He is especially well versed in the energy sector which can present unique risks and rewards. His distinctive experience and depth of knowledge of the volatile energy market augment data when examining which factors potentially move oil prices and how industries in the sector are impacted.

His favorite projects involve specialized or innovative research to find solutions in previously unexplored areas. Moustapha enjoys the assortment of new and different challenges and is always following a pursuit of knowledge. He finds helping clients through the process of exploring and testing new concepts rewarding. Moustapha joined the firm in 2017.

  • Energy Risk Professional (ERP) - Certified by the Global Association of Risk Professionals (GARP)
  • Chartered Financial Analyst (CFA)
  • M.B.A. Finance, Wright State University
  • M.S. Mineral and Energy Economics, Colorado School of Mines (CSM)
  • M.S. Petroleum Economics and Management, IFP, France
  • B.S. Mining Engineering, Colorado School of Mines (CSM)

Lesley works to mitigate any compliance or ethics concerns in order to create assurance James is operating in your best interest. She implements and oversees compliance for all federal securities rules and regulations creating internal practices to promote the highest ethical standards for serving and managing your assets.

Serving as a member of the Investment Committee, she is also responsible for overseeing operations at James. She focuses on the improvement of business efficiency to help secure longevity, sustainability, and financial success while expanding available services. Improving practices and providing you excellent and expedient client service is one of her top priorities.

Lesley enjoys meeting clients and forming relationships, getting to know you and connecting on a personal level. She aspires to foster a highly knowledgeable and compassionate team of employees, all working together, to help make your life easier.

  • James team member since 2006
  • FINRA series 7, 24, 66 and 99 securities registrations
  • Chartered Mutual Fund Counselor (CMFC)
  • Investment Advisor Certified Compliance Professional (IACCP)
  • M.B.A. Finance & Management, Innovation and Change, Wright State University, OH
  • B.S. Business/Finance, Wright State University, OH

In charge of maintaining accurate portfolios and performance for both James Investment private accounts and the James Advantage Funds, Amy’s responsibilities are vital to ensure calculations are accurate and Fund expenses are reflected and allocated properly. To make the best decisions for your account, portfolio managers rely on accurate details such as available cash, valuation of securities and transactions, including dividend income.

A James’ Team member for over 20 years, her scope of the firm’s operations is key to providing you with the best possible service and most comprehensive knowledge base when it comes to daily account activity including: performance calculation, account deposits / withdrawals, and tax information such as capital gains and losses, cost basis, and IRA required minimum distributions. She believes it’s important to lead our operations team in making sure portfolio information reflected on our system is accurate and as up to date as possible to facilitate the portfolio managers in making the best decisions for James’ clients.

Amy enjoys making sure you are satisfied your account information is correct and you are comfortable calling her with any concerns or questions as well as any needed assistance with account changes, withdrawals or tax requests. It is important to her you have the ability to gauge how your investments are performing so she is diligent to maintain compliant status with the Global Investment Performance Standards (GIPS) requirements and fund performance and filings are accurate.

  • James team member since 1998
  • Certified Public Accountant (CPA)
  • B.S. B.A. Accounting, Bowling Green State University, OH

Annette has been with James Investment since 2005. Her position as Branding and Advertising Director encompasses responsibility for displaying the firms image and story through a variety of channels and media outlets. She has experience at James in administration, operations, trading, and is a registered representative. She is a knowledgeable and dedicated resource for both clients and employees.

Some areas of focus for Annette include developing and maintaining the firm’s website and advertising materials, including print and digital. She also works to develop effective marketing strategies including radio, newspaper, social media, promotional and overall brand image. Additionally, she is involved in daily operations including client reporting and invoicing.

Annette enjoys ensuring the James Investment brand reflects its core values of helping clients achieve their financial goals; while supporting the team, clients and community. The long- held high reputation of the firm has a story and background she is proud to deliver.

  • James team member since 2005
  • FINRA series 7 and 66 securities licenses
  • M.B.A. Wright State University, OH
  • B.A. Business Marketing, University of Dayton, OH

As a trader, Ryan communicates daily with external Brokers nationwide executing trade instructions for your accounts. He monitors portfolio activity and is available to answer a variety of account inquiries. He is instrumental in keeping James’ computer operating systems running efficiently and coordinates network and software security throughout the building and external networks.

Ryan particularly enjoys having the ability to help people achieve their financial freedoms and experience success. In both his work and personal life, he loves to help people accomplish some of their goals.

  • James Team member since 2006
  • FINRA Series 65 license
  • Microsoft Certified Professional (MCP), Microsoft Certified Systems Administrator (MCSA), A+, Network +
  • B.S. Business/Finance, Wright State University, Cum Laude, OH

A James’ team member for over 35 years, Suzie works daily with brokerage firms and custodians nationwide concerning a wide variety of your account details. She is constantly executing trades, verifying trade confirmations, monitoring deposits/withdrawals, updating stock splits, mergers or takeovers and balancing James’ records to your custodial accounts.

As Treasurer she is responsible for the oversight of James’ financial records and processing accounts payable and receivable. She enjoys the fluidity of her job, fluctuating from establishing new account assets to sending trades for existing clients. Always focused on what is best for you, she enjoys the challenge of working with your changing account needs and the ability to execute the best plan of action.

  • James team member since 1980
  • Associate Degree Business Management, Kaplan University

Working with the senior-level management team, Heather plays a critical role in helping the office operate smoothly and efficiently. She takes pride in providing expedient, thorough, and friendly service to clients and all other partners. Establishing and maintaining strong relationships both internally and externally are important to her. She is also one of the “behind the scenes” members caring for your accounts with a wide range of responsibilities including deposit and withdrawal notifications and account reconciliation.

Heather prefers to engage in a variety of tasks and successfully coordinates executive schedules as well as works with your portfolio managers to prepare meeting materials and larger group presentations. She particularly enjoys helping people get things done and effectively connecting you to the person best suited to provide answers or help.

  • James team member since 2002
  • B.S. Business, Wright State University, OH

As a trader, David primarily interacts with brokers. He may assist you with withdrawals / deposits, performance information or invoicing. Regardless of your type of inquiry or request, his goal is to make your process seamless and easy to execute on a repetitive basis.

Partial to engaging the analytical nature of his brain, David appreciates real world events and their relevance to the financial field. He enjoys seeing the direct correlation between items he hears in the news and how they impact investments in the market.

  • James team member since 2009
  • FINRA Series 6 and Series 65 registrations
  • B.S. Sport Administration, Minor Business Administration, University of Cincinnati, OH

As Senior Financial Planner, Ashlee Walton works with clients of all ages to help them organize and achieve their financial dreams. Her passion is forming relationships built on trust and sincerity to discover the areas that are most important to each family member. Short term goals allow her to help with the most pressing items, while incorporating long term goals allows clients to comfortably prepare for life events such as retirement, passing assets to heirs, saving for a home, or simply preparing for the unknown!

Her financial planning background allows her to swiftly navigate all areas of your financial life to pinpoint areas of opportunity and assure they are all working together in your best interest. She has a love of learning and is happiest when learning new ideas to better assist James clients.

  • CERTIFIED FINANCIAL PLANNER professional
  • B.S. Financial Services, Wright State University

Beth provides financial planning to James clients. Her role includes assisting clients to help identify their financial goals and design a plan to achieve them. Her studies in financial services and law give her the background needed to help clients navigate tricky financial decisions. Her objective is to present her clients with options so they can understand and choose what is best for them.

Beth is also a strong advocate for financial literacy. She has been able to pursue that passion through teaching at Wright State University. Her courses have included those in an MBA curriculum as well as those to help students prepare to take the Certified Financial Planner exam. The only thing more rewarding for Beth than helping a client achieve their goals is to teach the next generation of professionals the skills of the trade.

  • CERTIFIED FINANCIAL PLANNER professional
  • Juris Doctor (JD), American University Washington College of Law
  • B.S. Financial Services, Wright State University

Our People

Our veteran team of professionals is committed to alleviating uncertainties and providing confidence in achieving your financial goals through independent research.

We are dedicated to respecting and supporting our team, clients and community. We believe this will provide the rewards of continued growth and shared profitability.

Management

View Bio

Barry R. James, CFA, CIC, CKA

Chairman of the Board

View Bio

R. Brian Culpepper, CMFC, CKA

President & CEO

View Bio

Lesley Ott, CMFC, IAACP

Chief Compliance Officer, Chief Operating Officer

View Bio

Fall Ainina, Ph.D., CFA

Director of Research

Investment Committee

View Bio

Barry R. James, CFA, CIC, CKA

Chairman of the Board

View Bio

R. Brian Culpepper, CMFC, CKA

President & CEO

View Bio

Brian P. Shepardson, CFA, CIC

Vice President

View Bio

Trent D. Dysert, CFA

Associate Director of Research

View Bio

Fall Ainina, Ph.D., CFA

Director of Research

View Bio

Moustapha Mounah, CFA, ERP

Portfolio Manager
Research Analyst
Investment Committee Member

View Bio

Lesley Ott, CMFC, IAACP

Chief Compliance Officer, Chief Operating Officer

View Bio

Ann M. Shaw

Investment Consultant

View Bio

Thomas L. Mangan

Investment Consultant

Relationship Management

View Bio

Diane Rose, CRPC®

Relationship Manager

View Bio

Neil Craft

Client Relationship Manager

Wealth Management

View Bio

Ashlee Walton, CFP®

Senior Financial Planner

View Bio

Beth Handwerker, CFP®, JD

Estate & Financial Planner

Research Team

View Bio

Fall Ainina, Ph.D., CFA

Director of Research

View Bio

Trent D. Dysert, CFA

Associate Director of Research

View Bio

Moustapha Mounah, CFA, ERP

Portfolio Manager
Research Analyst
Investment Committee Member

Business & Operations Team

View Bio

Lesley Ott, CMFC, IAACP

Chief Compliance Officer, Chief Operating Officer

View Bio

Annette Quinter

Branding and Advertising Director

View Bio

Ryan Post

Trading and Technology Director

View Bio

Suzie Smith

Senior Trader

View Bio

Heather Schneider

Executive Assistant

View Bio

David McGowan

Trader