Carl W. Gardiner

BITTERROOT CAPITAL ADVISORS LLC

Bozeman, MT 59715

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CRD#: 2270780

Professional summary

Carl Wade Gardiner III, who also goes by Carl W III Gardiner, is a registered financial advisor currently at BITTERROOT CAPITAL ADVISORS LLC located in Bozeman, Montana.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Carl has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl W Iii Gardiner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Wade Gardiner III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 5, 2022 - Present

BITTERROOT CAPITAL ADVISORS LLC

Office #1: 118 East Main Street, Bozeman, MT 59715

RIA

CRD#: 109088

Bozeman, MT

Past

February 21, 2017 - December 31, 2018

CONSTANCY INVESTORS LLC

RIA

CRD#: 286029

NEW CANAAN, CT

Past

October 11, 1992 - August 21, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

September 1, 1992 - May 19, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BITTERROOT CAPITAL ADVISORS LLC

CRD#: 109088 / SEC#: 801-58029

RIA

Registered Investment Advisory firm - (10/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Montana
(10/5/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/22/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2000

General Securities Principal Examination

Current Firm

BITTERROOT CAPITAL ADVISORS LLC

CRD#: 109088 / SEC#: 801-58029

RIA

Registered Investment Advisory firm - (10/20/2000 Approved)

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Contact information

Main Address

118 East Main Street, Bozeman, MT 59715

Mailing Address

Phone number

(406) 556-8200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BITTERROOT CAPITAL ADVISORS, LLC - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 1,453,507,231

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carl W. Gardiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Wade Gardiner III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BITTERROOT CAPITAL ADVISORS LLC

CONSTANCY INVESTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BITTERROOT CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1992

Series 7

Date: 8/22/1992

Series 24

Date: 1/12/2000

Current Firm

BITTERROOT CAPITAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BITTERROOT CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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