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CRD 106691
SPRINGFIELD, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••••• J•••• J•••••• | Treasurer | Na | yes | 01/2018 | Mar 28, 2018 | Jul 11, 2022 |
| M••••• G••••• A••••••• I••• | PARENT COMPANY | E | yes | 04/2022 | May 13, 2022 | Jul 11, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H•••• Y•••• • A••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Branson | Mo | United States | 3 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $917M | $721M | 27.1% | $483M | 23.9% | 13 | 13 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• G••••• A••••••• I••• | 7 | Sep 26, 2022 | Jul 21, 2022 | SPRINGFIELD, MO | Firm absorbed | RIA to RIA | 100.0% |
| CHIEF TECHNOLOGY OFFICER |
| Na |
| yes |
| 01/2018 |
| Mar 28, 2018 |
| Jul 11, 2022 |
| Y••••• D•••• W•••••• | Secretary | Na | yes | 01/2018 | Mar 29, 2012 | Jul 11, 2022 |
| L••• T••••••• Y••••• | CHIEF COMPLIANCE OFFICER | Na | no | 03/2018 | Mar 28, 2018 | Jul 11, 2022 |
| S••••••••• J•••• B•••• | PRESIDENT / CEO | Na | no | 01/2018 | Sep 13, 2012 | Jul 11, 2022 |
| $917M |
| $890M |
| 13 |
| 13 |
| 1 |
| n/a |
| n/a |
| 2020 | Mar 23, 2021 | $721M | $704M | 13 | 11 | 1 | n/a | n/a |
| 2019 | Mar 31, 2020 | $610M | $594M | 12 | 10 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $483M | $483M | 10 | 9 | 1 | n/a | n/a |
| 2017 | Mar 28, 2018 | $562M | $562M | 8 | 7 | 1 | n/a | n/a |
| 2016 | Mar 28, 2017 | $496M | $496M | 8 | 7 | n/a | n/a | n/a |
| 2015 | Mar 22, 2016 | $419M | $419M | 8 | 7 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $377M | $377M | 8 | 7 | n/a | n/a | n/a |
| 2013 | Mar 13, 2014 | $246M | $246M | 7 | 6 | n/a | n/a | n/a |
| 2012 | Mar 19, 2013 | $208M | $208M | 7 | 6 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $162M | $162M | n/a | n/a | n/a | n/a | n/a |