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RIA / WealthAdvisorChartered Financial Analyst28 years in industry

Stephen LeRoy Ketterling

Advisor at 406 PM

BILLINGS, MT

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Search this name across graphsid dfx:ria:9d7e5ac0-877c-6e02-d14d-5ceeebcfd92a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2000 to Sep 14, 2026

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

Current firm: 406 PM
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S63|S66
First exam: Jun 9, 1998
First registration: Aug 29, 2000
Dual registered: no
Other names: Steve Ketterling
IAPD individual key: 2338350

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
406 PM	State registered	Jan 22, 2026	n/a	yes	BILLINGS, MT	Current employment
SYNTROPY WEALTH MANAGEMENT LLC	State registered	Mar 16, 2022	Jun 6, 2023	no	AUSTIN, TX\|Littleton, CO	Previous registration
MORGAN STANLEY	Wirehouse	Oct 1, 2019	Apr 21, 2021	no	Billings, MT	Previous registration
OPTIMA CAPITAL MANAGEMENT	State registered	Sep 16, 2010	Apr 11, 2012	no	BILLINGS, MT	Previous registration
INVESTMENT MANAGEMENT GROUP	Mixed wealth	Feb 5, 2009	Mar 24, 2010	no	BILLINGS, MT	Previous registration
OPTIMA CAPITAL MANAGEMENT	State registered	Sep 29, 2004	Feb 6, 2009	no	BILLINGS, MT	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 29, 2000	Aug 6, 2004	no	Mt	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SYNTROPY WEALTH MANAGEMENT LLC	406 PM	Jun 6, 2023	Jan 22, 2026	961	Firm change after gap	Other
MORGAN STANLEY	SYNTROPY WEALTH MANAGEMENT LLC	Apr 21, 2021	Mar 16, 2022	329	Firm change	Wirehouse to state RIA
OPTIMA CAPITAL MANAGEMENT	MORGAN STANLEY	Apr 11, 2012	Oct 1, 2019	2,729	Firm change after gap	Other
INVESTMENT MANAGEMENT GROUP	OPTIMA CAPITAL MANAGEMENT	Mar 24, 2010	Sep 16, 2010	176	Firm change	Other
OPTIMA CAPITAL MANAGEMENT	INVESTMENT MANAGEMENT GROUP	Feb 6, 2009	Feb 5, 2009	-1	Firm change	Other
CHARLES SCHWAB & CO., INC.	OPTIMA CAPITAL MANAGEMENT	Aug 6, 2004	Sep 29, 2004	54	Firm change	Ibd to state RIA

Relationships

Registered with (6)

→ 406 PMRegistered adviserregistration: current employment
Jan 22, 2026 to presentfactForm ADV
→ SYNTROPY WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 16, 2022 to Jun 6, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 1, 2019 to Apr 21, 2021factForm ADV
→ OPTIMA CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Sep 16, 2010 to Apr 11, 2012factForm ADV
→ INVESTMENT MANAGEMENT GROUPRegistered adviserregistration: previous registration
Feb 5, 2009 to Mar 24, 2010factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 29, 2000 to Aug 6, 2004factForm ADV

Dated events

Occurred
Jun 6, 2023
Advisor changed firm
Stephen Leroy Ketterling left Syntropy Wealth Management Llc for 406 Pm (registered 2026-01-22)
Form ADVobserved 4 days ago