Alan L. Miller

RESOLVE CAPITAL MANAGEMENT LLC

SIOUX FALLS, SD 57105

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CRD#: 3070313

Professional summary

Alan Lee Miller, AIF® is a registered financial advisor currently at RESOLVE CAPITAL MANAGEMENT LLC located in Sioux Falls, South Dakota.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Alan has worked at 3 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Alan Lee Miller's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 21, 2012 - Present

RESOLVE CAPITAL MANAGEMENT LLC

Office #1: 3500 S Phillips Avenue Suite 200, Sioux Falls, SD 57105

RIA

CRD#: 154965

SIOUX FALLS, SD

Past

September 20, 2010 - December 31, 2011

RESOLVE CAPITAL MANAGEMENT LLC

RIA

CRD#: 154965

SIOUX FALLS, SD

Past

December 7, 2004 - September 30, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SIOUX FALLS, SD

Past

December 3, 2004 - September 30, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SIOUX FALLS, SD

Past

September 28, 1998 - December 7, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SIOUX FALLS, SD

Past

July 17, 1998 - December 7, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Minnesota
(12/9/2024)

IAR

South Dakota
(2/21/2012)

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

IAR

Series 65

Date: 7/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/31/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/16/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/2005

General Securities Principal Examination

Current Firm

RESOLVE CAPITAL MANAGEMENT LLC

CRD#: 154965 / SEC#: 801-71834

RIA

Registered Investment Advisory firm - (2/21/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (12/9/2024 Approved)

South Dakota

Registered Investment Advisory firm - (2/16/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3500 S Phillips Avenue Suite 200, Sioux Falls, SD 57105

Mailing Address

Phone number

(605) 275-3446

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 39,544,690

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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Alan L. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Lee Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

RESOLVE CAPITAL MANAGEMENT LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1998

Series 63

Date: 7/29/1998

Series 31

Date: 7/31/1998

Series 7

Date: 7/16/1998

Series 24

Date: 2/23/2005

Current Firm

RESOLVE CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RESOLVE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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