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James Ross Prescott

Ariel Investments, LLC

Chicago, IL

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Current Employers
Ariel Investments, Llc

200 East Randolph Street Suite 2900, Chicago, IL 60601-6505 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-09-20
  • IL RA
    APPROVED
    Since 2014-09-20

Branch Locations

200 East Randolph Street Suite 2900, Chicago, IL 60601-6505 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ariel Distributors Chicago IL 09/2014 Present
Ariel Investments Chicago IL 09/2014 12/2017
Ariel Investments Chicago IL 12/2017 Present
Ariel Alternatives Chicago IL 02/2021 Present
Project Level Management Company, Llc Chicago IL 05/2025 Present
  • 09/2014 → Present
    Ariel Distributors
    Chicago, IL
  • 09/2014 → 12/2017
    Ariel Investments
    Chicago, IL
  • 12/2017 → Present
    Ariel Investments
    Chicago, IL
  • 02/2021 → Present
    Ariel Alternatives
    Chicago, IL
  • 05/2025 → Present
    Project Level Management Company, Llc
    Chicago, IL
Previous Registrations
  • 2012-07-19 → 2014-01-15
    Oakpath Financial
    Northfield, IL
Other Businesses

1) Ariel Investments, LLC (Invest-Related) 200 E. Randolph St. Suite 2900 Chicago, IL 09/2014 Invest Adviser Firm, Vice President Compliance, Time Varies. 2) Ariel Alternatives (Invest-Related), 200 E. Randolph St., 29th floor, Chicago, IL - Compliance, 02/2021, approx., Time Varies. 3) Project Level Management Company, LLC (Invest-Related) 200 E. Randolph St. Suite 2900 Chicago, IL 05/2025 Invest Adviser Firm, Vice President, Compliance, Time Varies.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-10-13
S65 Uniform Investment Adviser Law Examination 2012-07-18
  • S63 Uniform Securities Agent State Law Examination
    2014-10-13
  • S65 Uniform Investment Adviser Law Examination
    2012-07-18

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