TrueAdvisor
TrueAdvisor
JR
JR

John Riley

Tcp Asset Management, LLC
33 Years of Experience
Columbus, OH
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

John Riley is a registered investment advisor at Tcp Asset Management, LLC, based in Columbus, OH, with 33 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 7 more. Their firm serves 2,221 clients with $1.2B in assets under management.

Tcp Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
2,221 clients
Average Client Portfolio
$533K average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2.00% for all assets. Fees are generally negotiable. Additional fees apply for specific third-party models or sub-advised portfolios (e.g., 0.15% to 0.40%).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

481 E Town Street, Columbus, OH, 43215

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2016
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John is the President/Lead Consultant at Riley Benefits & Investment Group, LLC, focusing on non-variable insurance, and an Investment Advisor Representative at TCP Asset Management, LLC. He also uses Riley Benefits & Investment Group and TCP Asset Management, LLC as DBAs for marketing purposes.

Employment History
Current Registrations
Tcp Asset Management, LLC
January 2017 - Present · 9 yrs 9 mos
United Planners' Financial Services of America a Limited PartnerBroker
December 2016 - Present · 9 yrs 10 mos
Previous Registrations
Trendency Capital Management, LLC
March 2015 - January 2017 · 1 yr 10 mos
Securities America, INC.Broker
January 2015 - October 2016 · 1 yr 9 mos
Securities America Advisors, INC.
January 2015 - January 2015 · 0 mos
NFP Advisor Services, LLCBroker
March 2013 - January 2015 · 1 yr 10 mos
G & W Equity Sales, INC.
September 1999 - January 2013 · 13 yrs 4 mos
G & W Equity Sales, INC.Broker
August 1994 - January 2013 · 18 yrs 5 mos
PFS Investments INC.Broker
April 1993 - May 1994 · 1 yr 1 mo
State Registrations12 states
AZCAFLNCNYOHPASCTXVTWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Columbus, OH →All financial advisors in Ohio →