James E. Auxier

AUXIER ASSET MANAGEMENT

Aurora, OR 97002

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CRD#: 6865653

Professional summary

James Edward Auxier is a registered financial advisor currently at AUXIER ASSET MANAGEMENT located in Aurora, Oregon.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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) Auxier Asset Management; Investment Related; Aurora, OR; 6/20/17; Research companies and eventually meet with clients; Analyst; Research companies and give the facts and fundamentals to the portfolio manager. Will eventually meet with clients as well; 160 hours per month with 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Auxier'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

January 29, 2018 - Present

AUXIER ASSET MANAGEMENT

Office #1: 15668 Ne Eilers Road, Aurora, OR 97002

RIA

CRD#: 107980

Aurora, OR

Past

January 16, 2020 - December 31, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Aurora, OR

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".

AUXIER ASSET MANAGEMENT

AUXIER ASSET MANAGEMENT | AUXIER ASSET MANAGEMENT LLC

CRD#: 107980 / SEC#: 801-55757

RIA

Registered Investment Advisory firm - (7/1/1998 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.

Highlighted states indicate IAR registrations

IAR

Oregon
(1/29/2018)

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

State Security Law Exam

Series 63

Date: 2/21/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/28/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/16/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/20/2019

Securities Industry Essentials Examination

Current Firm

AUXIER ASSET MANAGEMENT

AUXIER ASSET MANAGEMENT | AUXIER ASSET MANAGEMENT LLC

CRD#: 107980 / SEC#: 801-55757

RIA

Registered Investment Advisory firm - (7/1/1998 Approved)

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Contact information

Main Address

15668 Ne Eilers Rd, Aurora, OR 97002

Mailing Address

Phone number

(503) 885-8807

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AUXIER ASSET MANAGEMENT LLC (3/11/2025)

Regulatory assets under management

Total Number of Accounts	506
AUM (Assets Under Management)	$ 855,277,871

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/30/2025	Cover Page	Report
04/20/2023	Cover Page	Report

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.

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James E. Auxier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Auxier's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

Primary Firm SEC Registration

AUXIER ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/2020

Series 65

Date: 1/28/2018

Series 7TO

Date: 1/16/2020

SIE

Date: 8/20/2019

Current Firm

AUXIER ASSET MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AUXIER ASSET MANAGEMENT

TRUST BUT VERIFY

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