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CRD 107574
CLAYTON, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DANIEL CHRISTOPHER TARLAS | Chartered Financial Analyst | CLAYTON, MO | 30 | 42 | n/a | no |
| GEORGE ANTHONY TARLAS | Chartered Financial Analyst | CLAYTON, MO | 26 | 29 | n/a | no |
| JASON CONSTANTINE PULOS | Chartered Financial Analyst | CLAYTON, MO | 24 | 25 | n/a | no |
| DONALD JOHN MUETH | Chartered Financial Analyst | ST. LOUIS, MO | 21 | 41 | n/a | no |
| MITCHELL HILTON BORAZ | n/a | ST. LOUIS, MO | 21 | 40 | n/a | no |
| CHRISTOPHER ANDY LOWRY | Chartered Financial Analyst | CLAYTON, MO | 20 | 20 | n/a | no |
| PATRICIA JOAN KAROLCZAK | n/a | CLAYTON, MO | 16 | 28 | n/a | no |
| ROGER JOHN WILLIS | Chartered Financial Analyst | CLAYTON, MO | 15 | 16 | n/a | no |
| HALEY SIEFERT | n/a | CLAYTON, MO | 15 | 24 | n/a | no |
| THOMAS JOSEPH JANISCH | Chartered Financial Analyst | CLAYTON, MO | 13 | 25 | n/a | no |
| ELIZABETH A Bowen | Chartered Financial Analyst | CLAYTON, MO | 7 | 23 | n/a | no |
| Michael Patrick Hotz | Chartered Financial Analyst | CLAYTON, MO | 7 | 15 | n/a | no |
| Joseph F Nugent | n/a | CLAYTON, MO | 7 | 20 | n/a | no |
| PHINEAS WILLIAM TROY | Chartered Financial Analyst | CLAYTON, MO | 5 | 17 | 1 | no |
| Daniel Eugene Flynn | Chartered Financial Analyst | CLAYTON, MO | 4 | 11 | n/a | no |
| William Kassing Melvin | Chartered Financial Analyst | CLAYTON, MO | 4 | 11 | n/a | no |
| CRAIG MARTIN COLEMAN | n/a | CLAYTON, MO | 3 | 20 | n/a | no |
| Patrick E Miller | Chartered Financial Analyst | CLAYTON, MO | 2 | 12 | n/a | no |
| Philip Fonseca | n/a | CLAYTON, MO | 1 | 14 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GWM HOLDCO, LLC | Member | E | yes | 12/2008 | Mar 30, 2026 | Mar 30, 2026 |
| CONSOLIDATED INVESTMENT SERVICES, INC. | Shareholder | E | yes | 07/2011 | Mar 26, 2012 | Mar 29, 2024 |
| GREATBANC TRUST COMPANY, TRUSTEE | Trustee | F | yes | 01/2010 | Mar 26, 2013 | Mar 29, 2024 |
| GUGGENHEIM CAPITAL, LLC | Member | E | yes | 10/2005 | Mar 26, 2012 | Mar 29, 2024 |
| GUGGENHEIM CAPITAL, LLC | Shareholder | E | yes | 11/2000 | Mar 26, 2012 | Mar 29, 2024 |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | F | yes | 01/2011 | Mar 27, 2015 | Mar 29, 2024 |
| GUGGENHEIM PARTNERS, LLC | Member | E | yes | 12/2008 | Mar 26, 2012 | Mar 29, 2024 |
| MUETH, DONALD, JOHN | MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER | Na | yes | 01/2004 | Mar 26, 2012 | Mar 29, 2024 |
| PULOS, JASON, CONSTANTINE | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | Na | yes | 01/2010 | Mar 26, 2012 | Mar 29, 2024 |
| SAGE ASSETS, INC | Member | C | yes | 12/2008 | Mar 26, 2012 | Mar 29, 2024 |
| SAMMONS ENTERPRISES, INC. | Shareholder | E | yes | 12/2008 | Mar 26, 2012 | Mar 29, 2024 |
| SAMMONS ENTERPRISES, INC. ESOT | Shareholder | E | yes | 03/2010 | Mar 26, 2012 | Mar 29, 2024 |
| SAMMONS EQUITY ALLIANCE, INC. | Shareholder | E | yes | 07/2011 | Mar 26, 2012 | Mar 29, 2024 |
| TARLAS, DANIEL, CHRISTOPHER | SENIOR MANAGING DIRECTOR | Na | yes | 03/2014 | Mar 26, 2012 | Mar 29, 2024 |
| TARLAS, GEORGE, ANTHONY | SENIOR MANAGING DIRECTOR | Na | yes | 03/2014 | Mar 26, 2012 | Mar 29, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $1.1B | $861M | 50 | 32 | 0 | n/a | n/a |
| 2024 | Mar 28, 2025 | $754M | $564M | 50 | 32 | 0 | n/a | n/a |
| 2023 | Mar 29, 2024 | $782M | $614M | 46 | 29 | 0 | n/a | n/a |
| 2022 | Mar 30, 2023 | $508M | $508M | 47 | 31 | 0 | n/a | n/a |
| 2021 | Mar 28, 2022 | $412M | $412M | 47 | 31 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $381M | $381M | 47 | 31 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $336M | $336M | 47 | 31 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $359M | $359M | 47 | 31 | 0 | n/a | n/a |
| 2017 | Mar 28, 2018 | $152M | $152M | 47 | 31 | 0 | n/a | n/a |
| 2016 | Mar 27, 2017 | $83.0M | $83.0M | 47 | 31 | n/a | n/a | n/a |
| 2015 | Mar 16, 2016 | $73.1M | $73.1M | 43 | 29 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $71.8M | $71.8M | 46 | 28 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $294M | $294M | 45 | 28 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $193M | $193M | 46 | 30 | n/a | n/a | n/a |
| 2011 | Mar 26, 2012 | $158M | $158M | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $754M | 45.5% | $508M | 29.2% | 50 | 50 | 0 | 0 |