Robert J. Leiphart

RB CAPITAL MANAGEMENT

Shelton, CT 06484

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CRD#: 4141443

Professional summary

Robert John Leiphart III, CFP®, who also goes by Leiphart, III Robert John Mr., Robert John Leiphart, Robert John Leiphart, III Mr., is a registered financial advisor currently at RB CAPITAL MANAGEMENT, LLC located in Shelton, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leiphart, Iii Robert John Mr. | Robert John Leiphart | Robert John Leiphart, Iii Mr.

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 Robert John Leiphart III'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

January 8, 2016 - Present

RB CAPITAL MANAGEMENT, LLC

Office #1: 4 Corporate Drive Suite 480, Shelton, CT 06484

RIA

CRD#: 125678

Shelton, CT

Past

June 13, 2005 - December 31, 2015

RB CAPITAL MANAGEMENT, LLC

RIA

CRD#: 125678

TRUMBULL, CT

Past

October 5, 2004 - April 5, 2006

SLOAN SECURITIES CORP.

CRD#: 17930

ENGLEWOOD CLIFFS, NJ

Past

March 24, 2004 - October 6, 2004

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

WESTPORT, CT

Past

March 24, 2004 - October 6, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

March 10, 2003 - February 26, 2004

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA

CRD#: 109211

SHELTON, CT

Past

March 14, 2000 - February 26, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

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".

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Connecticut
(1/8/2016)

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.

Exams

State Security Law Exam

Series 63

Date: 10/23/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/19/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/13/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

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Contact information

Main Address

5365 Reno Corporate Dr. Suite 200, Reno, NV 89511

Mailing Address

Phone number

(775) 993-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR CLIENTS NOT PARTICIPATING IN THE WRAP PROGRAM (3/27/2025)

DISCLOSURE DOCUMENT FOR CLIENTS PARTICIPATING IN THE WRAP PROGRAM (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,382
AUM (Assets Under Management)	$ 817,220,998

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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Robert J. Leiphart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Leiphart III's CRS (Customer Relationship Summary).

Certified licenses

Experience

RB CAPITAL MANAGEMENT, LLC

SLOAN SECURITIES CORP.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

AMERICAN SKANDIA ADVISORY SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Primary Firm SEC Registration

RB CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/2001

Series 65

Date: 1/19/2001

Series 7

Date: 4/19/2004

Series 6

Date: 3/13/2000

Current Firm

RB CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RB CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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