Richard R. Miller

COMPASS PRIVATE WEALTH CONSULTING

Prior Lake, MN

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CRD#: 3086878

Professional summary

Richard Russell Miller, CFP® is a registered financial advisor currently at COMPASS PRIVATE WEALTH CONSULTING, LLC located in Prior Lake, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Richard has worked at 2 firms and has passed the Series 63, 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.

Richard R Miller CPA, Prior Lake, MN, 7/2008 to Present, Tax Compliance (Prepare Individual Tax Returns), 10 hours month from January to April.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Russell 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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

December 22, 2015 - Present

COMPASS PRIVATE WEALTH CONSULTING, LLC

RIA

CRD#: 147934

Prior Lake, MN

Past

May 17, 2001 - June 23, 2008

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

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
(12/22/2015)

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: 6/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/15/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/2001

General Securities Principal Examination

Current Firm

COMPASS PRIVATE WEALTH CONSULTING, LLC

CRD#: 147934 / SEC#: 801-69455

RIA

Registered Investment Advisory firm - (4/22/2009 Terminated)

Minnesota

Registered Investment Advisory firm - (4/20/2009 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

Prior Lake, MN

Mailing Address

Phone number

(612) 309-3018

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 18,204,052

Red Flags

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

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Richard R. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Russell Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS PRIVATE WEALTH CONSULTING, LLC

BIRCHTREE FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/2003

Series 7

Date: 5/15/2001

Series 24

Date: 6/25/2001

Current Firm

COMPASS PRIVATE WEALTH CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMPASS PRIVATE WEALTH CONSULTING, LLC

TRUST BUT VERIFY

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