James Alan Brown

Employer firm

Waverly Advisors, LLC CRD 115332

$29.9B regulatory AUM 69 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers

Waverly Advisors, Llc

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-11-13

OH RA
APPROVED

Since 2024-11-13

Branch Locations

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

6856 Loop Rd., Dayton, OH 45459 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Apex Capital Management/Fiera Capial	Miamisburg	OH	10/2005	01/2022
Buckingham Advisors	Dayton	OH	01/2022	03/2025
Waverly Advisors, Llc	Dayton	OH	11/2024	Present

10/2005 → 01/2022

Apex Capital Management/Fiera Capial

Miamisburg, OH
01/2022 → 03/2025

Buckingham Advisors

Dayton, OH
11/2024 → Present

Waverly Advisors, Llc

Dayton, OH

Previous Registrations

2022-12-12 → 2025-03-17

Buckingham Capital Management, Inc.

Dayton, OH

Other Businesses

Fourth Avenue LLC, not investment related, 4420 Mohave Dr., Beavercreek, OH, 45431, Music Entertainment, Co-Owner, start date 06/2008, 8 hours/month (0 during trading hours), music rehearsals/performances, tax/accounting CFA Society Dayton, investment related, 2500 Stratacache Tower, Dayton, OH 45423, Professional Society, Investment Committee Chair, start date 08/2017, 5 hours/month (0 during trading hours), attend board meetings, manage the investment committee meetings, direct trades to the president