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C••••• AND COMPANY BROKERAGE, INC., CRD 22449
BALLWIN, 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 |
|---|---|---|---|---|---|---|
| C••••••••• D•••••• M•••• | CEO, CHIEF COMPLIANCE OFFICER-RA | C | yes | 01/2015 | Mar 29, 2012 | Mar 25, 2024 |
| M••••• W•••••• L•••• | President | E | yes | 08/1988 | Mar 29, 2012 | Mar 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B• • B• F•••••••• P••••••• C••• I••• | n/a | State registered | $93.1M | N | no | n/a |
| L••• A••••••• C••• L•• | n/a | State registered | $21.7M | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| ST. PETERS | Mo | United States | 3 | no |
| Columbia | Mo | United States | 2 | no |
| ST PETERS | Mo | United States | 2 | no |
| Frisco | TX | United States | 2 | no |
| LAGUNA HILLS | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $937M | $866M | 8.3% | $887M | 1.8% | 48 | 49 | 17 | 17 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••••••• F•••••••• S••••••••• L•• | 2 | Mar 15, 2018 | Mar 16, 2018 | DAYTON, OH | Team lift out | Other | 6.5% |
| S•••••• W••••• M••••••••• I••• | 2 | Sep 29, 2017 | Oct 5, 2017 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| J••••• H•••••••• W••• L••••• L•• | 2 | Jun 1, 2018 | Jun 2, 2018 | ST PETERS, MO | Team lift out | RIA to RIA | 0.5% |
| CHIEF COMPLIANCE OFFICER - BD |
| Na |
| yes |
| 01/2015 |
| Mar 22, 2022 |
| Mar 25, 2024 |
| no |
| Bettendorf | Ia | United States | 1 | no |
| Bettendorf | Ia | United States | 1 | no |
| Denver | Ia | United States | 1 | no |
| Marion | IL | United States | 1 | no |
| OVERL••• PARK | Ks | United States | 1 | no |
| Manchester | Mo | United States | 1 | no |
| ST. L•••• | Mo | United States | 1 | no |
| Burton | Oh | United States | 1 | no |
| Dayton | Oh | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| n/a | n/a | n/a | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Apr 8, 2025 |
| $937M |
| $768M |
| 48 |
| 38 |
| 17 |
| n/a |
| n/a |
| 2023 | Mar 25, 2024 | $866M | $718M | 49 | 39 | 17 | n/a | n/a |
| 2022 | Mar 30, 2023 | $752M | $599M | 51 | 39 | 18 | n/a | n/a |
| 2021 | Mar 22, 2022 | $887M | $691M | 50 | 39 | 19 | n/a | n/a |
| 2020 | Mar 29, 2021 | $726M | $559M | 46 | 35 | 17 | n/a | n/a |
| 2019 | Apr 23, 2020 | $645M | $507M | 45 | 35 | 19 | n/a | n/a |
| 2018 | Mar 28, 2019 | $600M | $474M | 44 | 35 | 20 | n/a | n/a |
| 2017 | Mar 29, 2018 | $576M | $484M | 43 | 35 | 18 | n/a | n/a |
| 2016 | Mar 30, 2017 | $560M | $453M | 42 | 34 | n/a | n/a | n/a |
| 2015 | Mar 23, 2016 | $563M | $410M | 42 | 32 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $500M | $400M | 45 | 34 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $412M | $337M | 41 | 29 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $337M | $286M | 28 | 21 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $344M | $301M | n/a | n/a | n/a | n/a | n/a |
| TROY, MO |
| Team lift out |
| Other |
| 6.5% |