RIA Intelligence

SECURITIES MONITORING GROUP, LLC

CRD #113242 SEC #801-60344 BUFFALO, MN 763-682-4014
SEC Registered
Total AUM
$127.2M
Discretionary
$83.5M
Employees
11
Clients
1
Accounts
2,682

Firm Details

Organization Type
Limited Liability Company
State of Formation
Minnesota
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Oct 11, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
DANIELS, DIANA, LYNNIDIRECTOR OF COMPLIANCENA
DANIELS, DIANA, LYNNIDIRECTOR OF COMPLIANCENA
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBERE Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBERE Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBERE Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERE Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERE Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBERE Control
DOUGHERTY, MICHAEL, JOHNIPARTNER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIPARTNERD Control
DOUGHERTY, MICHAEL, JOHNIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERD Control
DOUGHERTY, MICHAEL, JOHNIPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIPARTNERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control
THEIS, DAVID, ALANIMANAGING MEMBERD Control

Registrations

Federal

IA
Oct 11, 2012 REGISTERED

Notice Filings (9)

AZ CA FL MN ND NM SD TX WI

Address

103 MARTY DRIVE
SUITE 101
BUFFALO, MN 55313
United States
Phone: 763-682-4014