Clear about
where we stand.

Professional records

Firm CRD number: 338200
Jack Richard Roath’s individual CRD number: 8166527

A CRD number identifies a record; it does not itself establish current registration or permission to provide a service. Check the regulator’s current information directly.

• Firm record at Investment Adviser Public Disclosure ↗
• Jack’s record at Investment Adviser Public Disclosure ↗

Jack has passed the Series 7, 63 and 65 examinations. These are qualification examinations, not professional designations.

About the information here

This website is for general information and introductory inquiries. It does not provide individualized investment, legal or tax advice, and does not recommend buying or selling a security. Investing involves risk, including the possible loss of principal.

Any future advisory engagement requires effective registration, appropriate disclosures and a written agreement defining the services and fees. The firm does not prepare tax returns, provide legal services or draft estate planning documents.

Brochures and client documents

The firm’s brochure is dated September 10, 2026. Filing a brochure does not mean registration has been granted or its contents approved. The firm’s IAPD record provides public registration information and available filings. You may also request the current brochure and supplement from Jack without a library invitation.

The September 10 brochure and revised agreement provide a right to cancel within five business days after signing, by written notice, without penalty or any fee due, with a full refund of any fee paid. The final agreement and disclosures define any future engagement.

The library

The private library contains selected writings and references. Philosophy, research, proposals and historical records are identified by their role and edition. They do not change the firm’s filed services, your agreement or your rights. An invitation gives reading access to a specific collection; it is not an advisory engagement or an offer of an interest in the firm.

General educational material does not account for your individual circumstances. Neither a framework nor an illustration assures an investment outcome. No investment strategy eliminates the risk of loss.

Regulatory context

The firm’s application is for Florida investment-adviser registration. The firm is not a broker-dealer, and Jack is not currently registered as a broker-dealer representative. Earlier brokerage records can be checked through FINRA BrokerCheck. A filing, examination qualification or directory listing is not regulatory endorsement.

Firm contact