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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MONTIBUS CAPITAL MANAGEMENT LLC.

CRD 143308

PORTLAND, OR

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Search this name across graphsid dfx:ria:9ce411f3-4e99-eb4a-4f5c-d1cb4400fad7

Data as of Jan 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Jan 30, 2015
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.0BItem 5.F on the latest filing (2015-01-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $982M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees: 4
Accounts: 190
SEC number: 801-67620
CRD: 143308
Filings on the tape: 21
First filed: Apr 2, 2012
Latest filed: Jan 30, 2015
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHIEN, MICHAEL, CHIH-HAO	CHIEF LEGAL OFFICER	Na	yes	01/2015	Jan 30, 2015	Jan 30, 2015
KORNGIEBEL, KENNETH, ANDREW	CHIEF INVESTMENT OFFICER	B	yes	10/2006	Apr 2, 2012	Jan 30, 2015
ROBERTS, SCOTT, ALLEN	President	Na	yes	04/2014	May 7, 2014	Jan 30, 2015
STIFEL FINANCIAL CORP	Shareholder	E	yes	07/2010	Apr 2, 2012	Jan 30, 2015
THOMAS WEISEL ASSET MANAGEMENT LLC	Shareholder	D	yes	10/2006	Apr 2, 2012	Jan 30, 2015
THOMAS WEISEL PARTNERS GROUP INC.	Shareholder	E	yes	08/2001	Apr 2, 2012	Jan 30, 2015
WEISEL, THOMAS, WILSON	CHAIRMAN, BOARD OF MANAGERS	Na	yes	10/2006	Apr 2, 2012	Jan 30, 2015
BUSHMANN, STEPHEN, JOHN	Cfo	Na	no	11/2012	Dec 18, 2012	Jan 30, 2015
PEREZ, CYNTHIA	CHIEF OPERATING OFFICER	Na	no	01/2007	Apr 2, 2012	Jan 30, 2015
WATKINS, ELIZABETH, ANNE	CHIEF COMPLIANCE OFFICER	Na	no	04/2014	Apr 28, 2014	Jan 30, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STIFEL, NICOLAUS & COMPANY, INCORPORATED	n/a	National bd RIA	$198B	N	yes	Mo
1919 INVESTMENT COUNSEL, LLC	n/a	Independent wealth	$26B	N	yes	n/a
ZIEGLER CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$11B	N	yes	n/a
CENTURY SECURITIES ASSOCIATES, INC.	n/a	Bd affiliated wealth	$5.0B	N	yes	n/a
MISSOURI VALLEY PARTNERS, INC.	n/a	Former SEC adviser	$950M	N	yes	n/a
THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC	n/a	Former SEC adviser	$304M	N	yes	n/a
CHOICE FINANCIAL PARTNERS, INC.	n/a	Independent wealth	$221M	N	yes	n/a
THOMAS WEISEL CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$2.9M	N	yes	n/a
KBW ASSET MANAGEMENT INC	n/a	n/a	n/a	N	yes	n/a
KEEFE, BRUYETTE & WOODS, INC.	n/a	n/a	n/a	N	yes	n/a
MERCHANT CAPITAL, L.L.C.	n/a	n/a	n/a	N	yes	n/a
MILLER BUCKFIRE & CO., LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Portland	Or	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jan 30, 2015	$1.0B	$982M	17	4	n/a	n/a	n/a
2013	Mar 31, 2014	$975M	$955M	14	5	n/a	n/a	n/a
2012	Mar 28, 2013	$668M	$668M	15	5	n/a	n/a	n/a
2011	Apr 2, 2012	$213M	$213M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$1.0B	$975M	2.9%	$213M	67.7%	17	14	n/a	n/a

Relationships

Affiliated with (11)

→ MISSOURI VALLEY PARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ THOMAS WEISEL CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ THOMAS WEISEL GLOBAL GROWTH PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ 1919 INVESTMENT COUNSEL, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ZIEGLER CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ EQUITYCOMPASS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, custodian, common control
factForm ADV
← MISSOURI VALLEY PARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
← THOMAS WEISEL ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← THOMAS WEISEL PARTNERS LLCRegistered adviser
factForm ADV

Controls (7)

← THOMAS WEISEL ASSET MANAGEMENT LLCOwnerSHAREHOLDER, ownership code D, domestic entity
Apr 2, 2012 to presentfactForm ADV
← ROBERTS, SCOTT, ALLENOwnerPRESIDENT, ownership code NA, individual
May 7, 2014 to presentfactForm ADV
← KORNGIEBEL, KENNETH, ANDREWOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Apr 2, 2012 to presentfactForm ADV
← WEISEL, THOMAS, WILSONOwnerCHAIRMAN, BOARD OF MANAGERS, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← CHIEN, MICHAEL, CHIH-HAOOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jan 30, 2015 to presentfactForm ADV
← STIFEL FINANCIAL CORPOwnerSHAREHOLDER, ownership code E, domestic entity
Apr 2, 2012 to presentfactForm ADV
← THOMAS WEISEL PARTNERS GROUP INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Apr 2, 2012 to presentfactForm ADV

Owns (3)

← PEREZ, CYNTHIAOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← WATKINS, ELIZABETH, ANNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 28, 2014 to presentfactForm ADV
← BUSHMANN, STEPHEN, JOHNOwnerCFO, ownership code NA, individual
Dec 18, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ce411f3-4e99-eb4a-4f5c-d1cb4400fad7
First observed: Apr 2, 2012
Last observed: Jan 30, 2015 141 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MONTIBUS CAPITAL MANAGEMENT LLC.

CRD 143308

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9ce411f3-4e99-eb4a-4f5c-d1cb4400fad7

Data as of Jan 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHIEN, MICHAEL, CHIH-HAO

CHIEF LEGAL OFFICER

yes

01/2015

Jan 30, 2015

KORNGIEBEL, KENNETH, ANDREW

CHIEF INVESTMENT OFFICER

yes

10/2006

Apr 2, 2012

Jan 30, 2015

ROBERTS, SCOTT, ALLEN

President

yes

04/2014

May 7, 2014

Jan 30, 2015

STIFEL FINANCIAL CORP

Shareholder

yes

07/2010

Apr 2, 2012

Jan 30, 2015

THOMAS WEISEL ASSET MANAGEMENT LLC

Shareholder

yes

10/2006

Apr 2, 2012

Jan 30, 2015

THOMAS WEISEL PARTNERS GROUP INC.

Shareholder

yes

08/2001

Apr 2, 2012

Jan 30, 2015

WEISEL, THOMAS, WILSON

CHAIRMAN, BOARD OF MANAGERS

yes

10/2006

Apr 2, 2012

Jan 30, 2015

BUSHMANN, STEPHEN, JOHN

Cfo

11/2012

Dec 18, 2012

Jan 30, 2015

PEREZ, CYNTHIA

CHIEF OPERATING OFFICER

01/2007

Apr 2, 2012

Jan 30, 2015

WATKINS, ELIZABETH, ANNE

CHIEF COMPLIANCE OFFICER

04/2014

Apr 28, 2014

Jan 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STIFEL, NICOLAUS & COMPANY, INCORPORATED

n/a

National bd RIA

$198B

yes

1919 INVESTMENT COUNSEL, LLC

n/a

Independent wealth

$26B

yes

n/a

ZIEGLER CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$11B

yes

n/a

CENTURY SECURITIES ASSOCIATES, INC.

n/a

Bd affiliated wealth

$5.0B

yes

n/a

MISSOURI VALLEY PARTNERS, INC.

n/a

Former SEC adviser

$950M

yes

n/a

THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC

n/a

Former SEC adviser

$304M

yes

n/a

CHOICE FINANCIAL PARTNERS, INC.

n/a

Independent wealth

$221M

yes

n/a

THOMAS WEISEL CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$2.9M

yes

n/a

KBW ASSET MANAGEMENT INC

n/a

yes

n/a

KEEFE, BRUYETTE & WOODS, INC.

n/a

yes

n/a

MERCHANT CAPITAL, L.L.C.

n/a

yes

n/a

MILLER BUCKFIRE & CO., LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Portland

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Jan 30, 2015

$1.0B

$982M

n/a

2013

Mar 31, 2014

$975M

$955M

n/a

2012

Mar 28, 2013

$668M

n/a

2011

Apr 2, 2012

$213M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$1.0B

$975M

2.9%

$213M

67.7%

n/a