James R. Prescott

ARIEL INVESTMENTS

Chicago, IL 60601-6505

Some features on this profile are disabled

CRD#: 6095346

Professional summary

James Ross Prescott is a registered financial advisor currently at ARIEL INVESTMENTS, LLC located in Chicago, Illinois and ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Ariel Investments, LLC (Invest-Related) 200 E. Randolph St. Suite 2900 Chicago, IL 09/2014 Invest Adviser Firm, Vice President Compliance, Time Varies. 2) Ariel Alternatives (Invest-Related), 200 E. Randolph St., 29th floor, Chicago, IL - Compliance, 02/2021, approx., Time Varies. 3) Project Level Management Company, LLC (Invest-Related) 200 E. Randolph St. Suite 2900 Chicago, IL 05/2025 Invest Adviser Firm, Vice President, Compliance, Time Varies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ross Prescott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 20, 2014 - Present

ARIEL INVESTMENTS, LLC

Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601-6505

RIA

CRD#: 108211

Chicago, IL

Current

November 3, 2014 - Present

ARIEL DISTRIBUTORS, LLC

Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601

CRD#: 38333

Chicago, IL

Past

July 19, 2012 - January 15, 2014

OAKPATH FINANCIAL

RIA

CRD#: 161366

NORTHBROOK, IL

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".

ARIEL INVESTMENTS, LLC

ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.

CRD#: 108211 / SEC#: 801-18767

RIA

Registered Investment Advisory firm - (4/15/1983 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Illinois
(9/20/2014)

Illinois
(11/3/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/13/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/18/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/3/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARIEL INVESTMENTS, LLC

ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.

CRD#: 108211 / SEC#: 801-18767

RIA

Registered Investment Advisory firm - (4/15/1983 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 East Randolph Street Suite 2900, Chicago, IL 60601-6505

Mailing Address

Phone number

(312) 726-0140

Established

Firm type

Fiscal year end

# of Employees

120

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARIEL INVESTMENTS PART 2A BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 12,369,706,772

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. Prescott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ross Prescott's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARIEL DISTRIBUTORS, LLC

OAKPATH FINANCIAL

Primary Firm SEC Registration

ARIEL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/13/2014

Series 65

Date: 7/18/2012

SIE

Date: 10/1/2018

Series 6

Date: 11/3/2014

FINRA

Current Firm

ARIEL INVESTMENTS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARIEL INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors