R
Roger Budd Investment Management, LLC
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 2 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Roger Budd Investment Management, LLC provides discretionary asset management and financial planning and consulting to individuals, high‑net‑worth clients and corporate or business entities. The firm’s ADV is an initial filing that reports no client assets under management and indicates a small advisory staff of two persons.
RBIM states it tailors investment programs to each client’s goals, time horizon and risk tolerance and may use fundamental, technical and charting analysis across long‑ and short‑term strategies, including option strategies where appropriate. The firm typically operates under discretionary authority and charges asset‑based advisory fees while providing ongoing portfolio monitoring and periodic account reviews.
The brochure discloses several outside business activities that are uncommon for firms in this category: the managing principal maintains multiple real‑estate investment and property‑management businesses and has roles in captive insurance operations, and a supervised person is also a licensed real‑estate agent who receives commissions; those activities are reported to consume only a small portion of time. Given the firm’s small size and initial‑filing status, these affiliations and the stated mitigation measures (disclosures, a Code of Ethics and supervisory reviews) are distinctive details prospective clients should review.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
$0 - $100,000: 2.00% $100,001 - $250,000: 1.75% $250,001 - $500,000: 1.50% $500,001 - $1,000,000: 1.35% $1,000,001 - $3,000,000: 1.25% $3,000,001+: 1.00%
Fee-only: Fixed fee for financial planning up to $250
Most active in
Roger Budd Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
Georgia
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")