JR
John W. Rosenthal
ROSENTHAL | HENRY CAPITAL ADVISORS
Mishawaka, IN 46545
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CRD#: 5949639
JR
Professional summary
John William Rosenthal is a registered financial advisor currently at ROSENTHAL | HENRY CAPITAL ADVISORS, INC. located in Mishawaka, Indiana.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. John has worked at 2 firms and has passed the Series 65 exam.
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.
JOHN Rosenthal has been CO-MANAGING MEMBER (since inception) FOR ROSENTHAL CYPRESS HAMMOCK, LLC ("RCM"), AN INVESTMENT-RELATED ENTITY LOCATED AT 4220 EDISON LAKES PARKWAY, SUITE 310, MISHAWAKA, IN 46545. RCH HAS INVESTED IN RPCA FINANCIAL VENTURES QP, L.P., an investment partnership managed by John W. Rosenthal Capital Management, Inc. AS A PASSIVE INVESTMENT VEHICLE, JOHN'S PRIMARY DUTIES INVOLVE MONITORING ITS INVESTMENT AND REPORTING PERIODICALLY TO ITS MEMBERS. John spends minimal time related to RCH, maybe an hour per month.
CRS (Client Relationship Summary) - RIA
Click below to view John William Rosenthal'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
November 18, 2011 - Present
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
Office #1: 4220 Edison Lakes Parkway Suite 310, Mishawaka, IN 46545RIA
CRD#: 158537
Mishawaka, IN
Past
November 23, 2011 - December 12, 2016
ROSENTHAL PARTNERS CAPITAL ADVISORS LLC
RIA
CRD#: 159346
MISHAWAKA, IN
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
Indiana(5/11/2012)
Current Firm
R|
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
JOHN W. ROSENTHAL CAPITAL MANAGEMENT, INC. | ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
CRD#: 158537 / SEC#: 802-110063
Colorado
Registered Investment Advisory firm - (5/29/2012 Terminated)Indiana
Registered Investment Advisory firm - (5/1/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4220 Edison Lakes Parkway Suite 310, Mishawaka, IN 46545
Mailing Address
Phone number
(574) 243-6502
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 118,162,900 |
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 |
|---|---|---|
| SEC | ERA - Active | 2/22/2017 |
| Arizona | ERA - Withdrawn | 5/5/2022 |
| California | ERA - Withdrawn | 5/5/2022 |
| Colorado | ERA - Withdrawn | 5/5/2022 |
| District of Columbia | ERA - Withdrawn | 5/5/2022 |
| Florida | ERA - Withdrawn | 5/5/2022 |
| Illinois | ERA - Withdrawn | 5/5/2022 |
| Iowa | ERA - Withdrawn | 5/5/2022 |
| Maryland | ERA - Withdrawn | 5/5/2022 |
| Michigan | ERA - Withdrawn | 5/5/2022 |
| Minnesota | ERA - Withdrawn | 5/5/2022 |
| Montana | ERA - Withdrawn | 5/5/2022 |
| North Carolina | ERA - Withdrawn | 5/5/2022 |
| Ohio | ERA - Active | 2/17/2021 |
| Oregon | ERA - Withdrawn | 5/5/2022 |
| Tennessee | ERA - Withdrawn | 3/23/2022 |
| Texas | ERA - Withdrawn | 5/5/2022 |
| Virginia | ERA - Withdrawn | 5/5/2022 |
| Washington | ERA - Active | 2/8/2023 |
| Wisconsin | ERA - Withdrawn | 5/5/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
CRD#: 158537Mishawaka, IN 46545TRUST BUT VERIFY
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