John M. Riley

TCP ASSET MANAGEMENT

COLUMBUS, OH 43215

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CRD#: 2325085

Professional summary

John Matthew Riley, AIF® is a registered financial advisor currently at TCP ASSET MANAGEMENT, LLC located in Columbus, Ohio and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Columbus, Ohio.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 8 firms and has passed the Series 65, Series 63, 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.) RILEY BENEFITS & INVESTMENT GROUP, LLC - PRESIDENT/LEAD CONSULTANT - NON-VARIABLE INSURANCE - COLUMBUS, OH - SINCE 12/2016 - INVESTMENT RELATED 2.) TCP ASSET MANAGEMENT, LLC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 12/2016 - INVESTMENT RELATED 3.) RILEY BENEFITS & INVESTMENT GROUP - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 01/2015 - NOT INVESTMENT RELATED 4.) TCP ASSET MANAGEMENT, LLC - REGISTERED INVESTMENT ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 12/2016 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Matthew Riley'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 19, 2017 - Present

TCP ASSET MANAGEMENT, LLC

Office #1: 481 E Town Street, Columbus, OH 43215

RIA

CRD#: 286037

COLUMBUS, OH

Current

December 7, 2016 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 481 E. Town Street, Columbus, OH 43215

RIA

CRD#: 20804

Columbus, OH

Past

March 30, 2015 - January 13, 2017

TRENDENCY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159431

COLUMBUS, OH

Past

January 29, 2015 - January 30, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

COLUMBUS, OH

Past

January 29, 2015 - October 28, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

COLUMBUS, OH

Past

March 8, 2013 - January 22, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DUBLIN, OH

Past

September 12, 1999 - January 17, 2013

G & W EQUITY SALES, INC.

RIA

CRD#: 35356

DUBLIN, OH

Past

August 3, 1994 - January 17, 2013

G & W EQUITY SALES, INC.

CRD#: 35356

DUBLIN, OH

Past

April 8, 1993 - May 27, 1994

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 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

Arizona
(8/4/2021)

California
(9/22/2025)

Florida
(2/17/2017)

New York
(5/19/2022)

North Carolina
(6/18/2021)

Ohio
(12/8/2016)

IAR

Ohio
(1/19/2017)

Pennsylvania
(12/19/2016)

South Carolina
(6/26/2018)

Texas
(2/18/2022)

IAR

Texas
(2/22/2022)

Vermont
(5/2/2025)

Washington
(6/8/2021)

West Virginia
(12/22/2016)

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

IAR

Series 65

Date: 7/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/7/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

5000 Horizons Drive, Upper Arlington, OH 43220

Mailing Address

Phone number

(614) 761-9378

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCP ASSET MANAGMENT, LLC FIRM BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	3,930
AUM (Assets Under Management)	$ 822,130,691

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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Firm Stability Insights

John M. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Matthew Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRENDENCY CAPITAL MANAGEMENT, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KESTRA INVESTMENT SERVICES, LLC

G & W EQUITY SALES, INC.

G & W EQUITY SALES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2017

Series 63

Date: 8/29/1994

SIE

Date: 10/1/2018

Series 6

Date: 4/7/1993

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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