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ER

Eric Scott Ruthman

PHASE LINE CAPITAL
ATLANTA, GA
·CRD# 6281076·12 years experience

Professional Summary

Eric Scott Ruthman, who also goes by Eric S Ruthman, is a registered financial advisor currently at PHASE LINE CAPITAL, LLC located in Atlanta, Georgia and PURSHE KAPLAN STERLING INVESTMENTS located in Atlanta, Georgia. Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Eric has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Eric S Ruthman

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

12 years in the financial services industry

Current & Past Employments

PHASE LINE CAPITAL, LLC·CRD# 315116
RIA
4401 Northside Pkwy, Nw Suite 285, Atlanta, GA 30327
July 12, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS·CRD# 35747
BD
4401 Northside Pkwy Nw Suite 285, Atlanta, GA 30327
August 11, 2021 - Present
LPL FINANCIAL LLC·CRD# 6413
RIA
Atlanta, GA
August 30, 2017 - August 13, 2021
LPL FINANCIAL LLC·CRD# 6413
BD
Atlanta, GA
August 21, 2017 - August 13, 2021
EDWARD JONES·CRD# 250
RIA
Woodstock, GA
March 3, 2014 - August 22, 2017
EDWARD JONES·CRD# 250
BD
Woodstock, GA
February 10, 2014 - August 22, 2017

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Current Firm

PL
PHASE LINE CAPITAL, LLC

PHASE LINE CAPITAL, LLC

CRD#: 315116 / SEC#: 801-121716
RIA
Registered Investment Advisory firm - SEC (9/10/2024 Terminated)
Georgia
Registered Investment Advisory firm - Georgia (9/5/2024 Approved)
North Carolina
Registered Investment Advisory firm - North Carolina (5/10/2024 Approved)
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).

Contact Information

Main Address

4401 Northside Pkwy, Nw Suite 285, Atlanta, GA 30327

Phone Number

(470) 586-6566

# of Employees

3

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

275

AUM (Assets Under Management)

$52,334,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) Phase Line Capital LLC. Investment related. At registered location. RIA firm. Managing Partner/CCO, Financial Advisor. Start 9/2017. 200 Hrs/mo, 160 Trading Hrs. Managing Partner/Financial Advisor/SSA. 2) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. Start 7/2021. 4 Hrs/mo, 4 Trading Hrs. Sales of Fixed/Traditional Insurance. 3) PKSF. Investment related. 80 State Street, Albany NY 12207. Fixed/Traditional Insurance. Agent. Start 7/2021. 4 Hrs/mo, 4 Trading Hrs. Sales of fixed/traditional insurance products.

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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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(8/16/2021)
RR
Colorado
(8/11/2021)
RR
District of Columbia
(8/11/2021)
RR
Florida
(8/11/2021)
IAR
Georgia
(7/12/2021)
RR
Georgia
(8/11/2021)
RR
North Carolina
(8/11/2021)
IAR
North Carolina
(4/23/2025)
RR
Pennsylvania
(8/11/2021)
RR
Texas
(8/11/2021)
RR
Virginia
(8/11/2021)
RR
Washington
(8/11/2021)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2014About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 2014About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Eric Scott Ruthman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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