Rubin J. Miller

PELTOMA CAPITAL PARTNERS

Austin, TX

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CRD#: 6351574

Professional summary

Rubin Jesse Miller, CFA, who also goes by Rubin Miller, is a registered financial advisor currently at PELTOMA CAPITAL PARTNERS located in Austin, Texas.

Rubin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Rubin has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rubin Miller

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.

Rubin Miller operates an investment related blog www.fortunesandfrictions.com. He generally doesn't devote time to this blog during trading hours and it does not contribute to a significant source of income.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rubin Jesse Miller'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®

CFA

Chartered Financial Analyst

Experience

Current

March 17, 2023 - Present

PELTOMA CAPITAL PARTNERS

RIA

CRD#: 325138

Austin, TX

Past

September 20, 2021 - April 3, 2023

PERSPECTIVE WEALTH PARTNERS, LLC

RIA

CRD#: 140330

AUSTIN, TX

Past

August 12, 2015 - August 27, 2021

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

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".

PELTOMA CAPITAL PARTNERS

PELTOMA CAPITAL PARTNERS | PELTOMA CAPITAL PARTNERS, LLC

CRD#: 325138 / SEC#: 801-132242

RIA

Registered Investment Advisory firm - (3/24/2025 Approved)

California

Registered Investment Advisory firm - (4/25/2025 Terminated)

Montana

Registered Investment Advisory firm - (4/14/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2025 Terminated)

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).

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

California
(1/2/2024)

IAR

Montana
(5/2/2023)

IAR

Texas
(3/17/2023)

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: 11/23/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2015

General Securities Representative Examination

Current Firm

PELTOMA CAPITAL PARTNERS

PELTOMA CAPITAL PARTNERS | PELTOMA CAPITAL PARTNERS, LLC

CRD#: 325138 / SEC#: 801-132242

RIA

Registered Investment Advisory firm - (3/24/2025 Approved)

California

Registered Investment Advisory firm - (4/25/2025 Terminated)

Montana

Registered Investment Advisory firm - (4/14/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2025 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(937) 416-5966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A/2B (5/14/2025)

Regulatory assets under management

Total Number of Accounts	492
AUM (Assets Under Management)	$ 108,802,449

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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Rubin J. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rubin Jesse Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

PELTOMA CAPITAL PARTNERS

PERSPECTIVE WEALTH PARTNERS, LLC

DFA SECURITIES LLC

Primary Firm SEC Registration

PELTOMA CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/23/2015

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2015

Current Firm

PELTOMA CAPITAL PARTNERS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PELTOMA CAPITAL PARTNERS

TRUST BUT VERIFY

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