James C. Shircliff

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CRD#: 1214473

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Carl Shircliff, who also goes by James C Shircliff, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Aliases

James C Shircliff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 19, 2005 - April 27, 2016

RIVER ROAD ASSET MANAGEMENT, LLC

RIA

CRD#: 134918

LOUISVILLE, KY

Past

June 15, 2004 - August 18, 2005

SMC CAPITAL INC/KY/

RIA

CRD#: 107820

LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVER ROAD ASSET MANAGEMENT, LLC

CRD#: 134918 / SEC#: 801-64175

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

RIVER ROAD ASSET MANAGEMENT, LLC

CRD#: 134918 / SEC#: 801-64175

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

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Contact information

Main Address

462 South Fourth Street Suite 2000, Louisville, KY 40202-3466

Mailing Address

Phone number

(502) 371-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - AUGUST 28, 2025 (8/28/2025)

Regulatory assets under management

Total Number of Accounts	80
AUM (Assets Under Management)	$ 8,009,616,161

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James C. Shircliff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RIVER ROAD ASSET MANAGEMENT, LLC

SMC CAPITAL INC/KY/

Primary Firm SEC Registration

RIVER ROAD ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

RIVER ROAD ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVER ROAD ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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