RP
Ryan J. Peschka
BERKELEY CAPITAL MANAGEMENT
ELLSWORTH, KS 67439
Some features on this profile are disabled
CRD#: 4924305
RP
Professional summary
Ryan James Peschka, who also goes by Ryan J Peschka, is a registered financial advisor currently at BERKELEY CAPITAL MANAGEMENT, LLC located in Ellsworth, Kansas.
Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Ryan has worked at 2 firms and has passed the Series 65 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan J Peschka
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.
FIRST BANK KANSAS NON-INVESTMENT RELATED 235 S. SANTA FE SALINA, KS 67401 BANKING INDIVIDUAL CONTRACT BASIS SINCE MARCH 2017 5-10 HOURS/MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Ryan James Peschka's 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®
NoneExperience
Current
September 24, 2009 - Present
BERKELEY CAPITAL MANAGEMENT, LLC
Office #1: 1502 Aylward Ave, Ellsworth, KS 67439RIA
CRD#: 149229
ELLSWORTH, KS
Past
April 18, 2005 - November 17, 2006
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
BC
BERKELEY CAPITAL MANAGEMENT, LLC
BERKELEY CAPITAL MANAGEMENT, LLC | RYAN J. PESCHKA | BERKELEY CAPITAL PARTNERS, LLC | BERKELEY CAPITAL MANAGMENT, LLC
CRD#: 149229 / SEC#: 801-132716
RIA
Registered Investment Advisory firm - (5/5/2025 Approved)Kansas
Registered Investment Advisory firm - (7/17/2025 Terminated)Missouri
Registered Investment Advisory firm - (7/17/2025 Terminated)Texas
Registered Investment Advisory firm - (7/17/2025 Terminated)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
Kansas(9/24/2009)
IAR
Missouri(5/9/2017)
IAR
Texas(7/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
BC
BERKELEY CAPITAL MANAGEMENT, LLC
BERKELEY CAPITAL MANAGEMENT, LLC | RYAN J. PESCHKA | BERKELEY CAPITAL PARTNERS, LLC | BERKELEY CAPITAL MANAGMENT, LLC
CRD#: 149229 / SEC#: 801-132716
RIA
Registered Investment Advisory firm - (5/5/2025 Approved)Kansas
Registered Investment Advisory firm - (7/17/2025 Terminated)Missouri
Registered Investment Advisory firm - (7/17/2025 Terminated)Texas
Registered Investment Advisory firm - (7/17/2025 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1502 Aylward Ave, Ellsworth, KS 67439
Mailing Address
Po Box 237, Ellsworth, KS 67439
Phone number
(785) 472-2375
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 685 |
| AUM (Assets Under Management) | $ 100,038,351 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 7/14/2017 |
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.
