406 Pm
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
406 PM provides discretionary portfolio management to individuals, families, personal trusts, and retirement accounts, tailoring portfolios to clients’ objectives, risk tolerance, and time horizon. The firm offers investment management only and does not provide financial planning, tax, accounting, or legal services; it is state-registered and owner-controlled and currently reports no regulatory assets under management.
The firm’s investment process combines fundamental, quantitative, and technical analysis with macroeconomic considerations to construct diversified portfolios using mutual funds, ETFs, individual equities, fixed income, and cash equivalents, and it will accept reasonable client-imposed investment restrictions in writing. 406 PM executes client trades through a single recommended custodian platform that supports fractional-share trading and automated rebalancing, manages accounts on a discretionary basis, and leaves proxy voting and shareholder communications to clients.
Distinctive features include an owner who is a CFA charterholder with prior institutional and branch-level experience and a practice origin as a consulting resource for other advisers before operating as a state-registered RIA. As a small, owner-operated firm with no current clients reported, 406 PM discloses heightened small-firm operational risk and also reports an unrelated outside business interest in owning and operating laundromats, which it says is managed separately and will be disclosed if it creates any material conflict.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
$0 - $500,000: 1.00% per year $500,000 - $1,000,000: 0.75% per year $1,000,000+: 0.50% per year
Main office location
406 Pm
Billings MT, United States
Number of offices
1
Most active in
406 Pm has reported serving >5 clients in these states in the last 12 months.
Montana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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