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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

THOMAS STORY AND SON LLC

CRD 148774

PLYMOUTH, IN

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:1390a533-b812-6e13-b280-df9431d76e87

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2012 to Mar 5, 2026
17 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $328MItem 5.F on the latest filing (2026-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $328M
Private client RAUM: $324MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $164Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 159
Individual clients: 11
High net worth clients: 28
Custody, client assets: $4.9M
SEC number: 801-69744
CIK: 1505207
CRD: 148774
Filings on the tape: 17
First filed: Mar 9, 2012
Latest filed: Mar 5, 2026
Organised: Limited Liability Company, IL
Website: storyandson.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
THOMAS HERBERT STORY	n/a	PLYMOUTH, IN	17	45	n/a	no
DAVID THOMAS STORY	n/a	PLYMOUTH, IN	17	20	2	no

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
LOLLINO, MICHAEL, STEVEN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2008	Mar 9, 2012	Mar 18, 2024
STORY, THOMAS, HERBERT	MANAGING MEMBER	E	yes	10/2008	Mar 9, 2012	Mar 18, 2024

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
2025	Mar 5, 2026	$328M	$328M	2	2	0	n/a	n/a
2024	Mar 4, 2025	$309M	$309M	2	2	0	n/a	n/a
2023	Mar 18, 2024	$284M	$284M	2	2	0	n/a	n/a
2022	Mar 24, 2023	$252M	$252M	2	2	0	n/a	n/a
2021	Mar 22, 2022	$316M	$316M	2	2	0	n/a	n/a
2020	Mar 2, 2021	$306M	$306M	2	2	0	n/a	n/a
2019	Mar 6, 2020	$264M	$264M	2	2	0	n/a	n/a
2018	Mar 1, 2019	$210M	$210M	2	2	0	n/a	n/a
2017	Mar 1, 2018	$224M	$224M	2	2	0	n/a	n/a
2016	Mar 13, 2017	$227M	$227M	2	2	n/a	n/a	n/a
2015	Feb 27, 2016	$208M	$208M	2	2	n/a	n/a	n/a
2014	Mar 6, 2015	$211M	$211M	2	2	n/a	n/a	n/a
2013	Mar 5, 2014	$226M	$226M	2	2	n/a	n/a	n/a
2012	Mar 13, 2013	$178M	$178M	2	2	n/a	n/a	n/a
2011	Mar 9, 2012	$143M	$143M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$328M	$309M	6.2%	$252M	9.2%	2	2	0	0

Relationships

Registered with (2)

← DAVID THOMAS STORYAdvisorregistration: current employment
May 15, 2009 to presentfactForm ADV
← THOMAS HERBERT STORYAdvisorregistration: current employment
Feb 18, 2009 to presentfactForm ADV

Controls (2)

← LOLLINO, MICHAEL, STEVENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 9, 2012 to Mar 18, 2024factForm ADV
← STORY, THOMAS, HERBERTOwnerMANAGING MEMBER, ownership code E, individual
Mar 9, 2012 to Mar 18, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1390a533-b812-6e13-b280-df9431d76e87
First observed: Mar 9, 2012
Last observed: Mar 5, 2026 6 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.

THOMAS STORY AND SON LLC

CRD 148774

PLYMOUTH, IN

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:1390a533-b812-6e13-b280-df9431d76e87

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:29 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

THOMAS HERBERT STORY

n/a

PLYMOUTH, IN

n/a

DAVID THOMAS STORY

n/a

PLYMOUTH, IN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LOLLINO, MICHAEL, STEVEN

CHIEF COMPLIANCE OFFICER

yes

10/2008

Mar 9, 2012

Mar 18, 2024

STORY, THOMAS, HERBERT

MANAGING MEMBER

yes

10/2008

Mar 9, 2012

Mar 18, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 5, 2026

$328M

n/a

2024

Mar 4, 2025

$309M

n/a

2023

Mar 18, 2024

$284M

n/a

2022

Mar 24, 2023

$252M

n/a

2021

Mar 22, 2022

$316M

n/a

2020

Mar 2, 2021

$306M

n/a

2019

Mar 6, 2020

$264M

n/a

2018

Mar 1, 2019

$210M

n/a

2017

Mar 1, 2018

$224M

n/a

2016

Mar 13, 2017

$227M

n/a

2015

Feb 27, 2016

$208M

n/a

2014

Mar 6, 2015

$211M

n/a

2013

Mar 5, 2014

$226M

n/a

2012

Mar 13, 2013

$178M

n/a

2011

Mar 9, 2012

$143M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$328M

$309M

6.2%

$252M

9.2%