Robert Travis Upton

Employer firm

The Joseph Group Capital Management CRD 165311

$1.09B regulatory AUM 41 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2001 → Present
  Schweser Study Program
  Lacrosse, WI
• 03/2004 → Present
  Upton Financial Education
  Hilliard, OH
• 06/2005 → Present
  Kaplan Financial
  New York, NY
• 03/2004 → Present
  The Joseph Group Capital Management
  Columbus, OH

Previous Registrations

• 2005-03-02 → 2013-03-27
  The Joseph Group Capital Management
  Columbus, OH
  Columbus, OH

Other Businesses

I AM THE PRESIDENT / FOUNDER / SOLE PROPRIETOR OF UPTON FINANCIAL EDUCATION, A FINANCIAL EDUCATION FIRM THAT IS PRIMARILY INVOLVED AS AN INDEPENDENT CONTRACTOR WITH THE SCHWESER STUDY PROGRAM DEVELOPING STUDY MATERIALS FOR THE CHARTERED FINANCIAL ANALYST (CFA) AND FINANCIAL RISK MANAGER (FRM) EXAMINATIONS. UPTON FINANCIAL EDUCATION WAS FOUNDED IN MARCH 2004 BUT MY RELATIONSHIP AS AN INDEPENDENT CONTRACTOR WITH SCHWESER GOES BACK TO 2001. THE BUSINESS IS LOCATED AT MY HOME ADDRESS OF 5453 OLD CREEK LANE, HILLIARD, OH 43206. I DEVOTE APPROXIMATELY 5 HOURS PER MONTH TO THE BUSINESS WITH NONE OF THESE HOURS TAKING PLACE DURING TRADING HOURS. DUTIES INCLUDE WRITING STUDY NOTES, EDITING, AND WRITING SAMPLE TEXT QUESTIONS FOR THE CFA AND FRM CURRICULUM.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-01-13

Designations

• Chartered Financial Analyst