RB
Roger Budd Investment Management, Llc
State-registered
Investment Adviser · Boutique (under $100M)
CRD 298525
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ADV data as of Jan 26, 2023
- Regulatory AUM
- $0
- Discretionary
- $0
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 0
- Employees
- 2
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roger Mccartney Budd | Registered representative | Apr 2023 (3y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/26/2023 | 980 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 26, 2023.
View current Form ADV (SEC/IAPD) ↗