John B. Riley

BARTON INVESTMENT MANAGEMENT

W. Conshohocken, PA 19428

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CRD#: 376746

Professional summary

John Barton Riley, who also goes by J Barton Riley, Jay Riley, is a registered financial advisor currently at BARTON INVESTMENT MANAGEMENT, LLC located in W. Conshohocken, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. John has worked at 8 firms and has passed the Series 65, Series 63, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Barton Riley | Jay Riley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Barton 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®

None

Experience

Current

October 9, 2020 - Present

BARTON INVESTMENT MANAGEMENT, LLC

Office #1: One Tower Bridge 100 Front Street, Suite 980, W. Conshohocken, PA 19428

RIA

CRD#: 141084

W. Conshohocken, PA

Past

February 21, 2006 - July 24, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BRYN MAWR, PA

Past

February 18, 2005 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 13, 2001 - March 2, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 12, 1984 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

May 19, 1978 - September 25, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

May 25, 1971 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

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".

BARTON INVESTMENT MANAGEMENT, LLC

CRD#: 141084 / SEC#: 801-66964

RIA

Registered Investment Advisory firm - (6/29/2006 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

Florida
(11/4/2020)

IAR

Pennsylvania
(10/9/2020)

IAR

Texas
(10/9/2020)

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

IAR

Series 65

Date: 10/21/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 8/15/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 5/10/1971

Registered Representative Examination

Current Firm

BARTON INVESTMENT MANAGEMENT, LLC

CRD#: 141084 / SEC#: 801-66964

RIA

Registered Investment Advisory firm - (6/29/2006 Approved)

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Contact information

Main Address

One Tower Bridge 100 Front Street, Suite 980, W. Conshohocken, PA 19428

Mailing Address

Phone number

(610) 226-4040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	273
AUM (Assets Under Management)	$ 1,000,880,229

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 B. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

Primary Firm SEC Registration

BARTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/1993

Series 63

Date: 5/27/1982

PC

Date: 8/15/1977

Series 1

Date: 5/10/1971

Current Firm

BARTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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