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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

AMERICAN CENTURY ADVISORY SERVICES, INC.

CRD 121974

KANSAS CITY, MO

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:560e58ed-2442-bcde-d04b-76804a1cddc0

Data as of Jul 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 66
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2011 to Jul 2, 2012
4 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
SEC number: 801-61414
CRD: 121974
Filings on the tape: 4
First filed: Nov 16, 2011
Latest filed: Jul 2, 2012
Organised: Corporation, Delaware

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
AMERICAN CENTURY COMPANIES, INC.	Shareholder	E	yes	01/2005	Nov 16, 2011	Jul 2, 2012
ETHERINGTON, CHARLES, A	GENERAL COUNSEL	Na	yes	03/2007	Nov 16, 2011	Jul 2, 2012
LEIS, JOHN, ANTHONY	PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR	Na	yes	06/2009	Nov 16, 2011	Jul 2, 2012
MCCLAIN, STEVEN, J	SENIOR VICE PRESIDENT & DIRECTOR	Na	yes	01/2010	Nov 16, 2011	Jul 2, 2012
ROEPKE, MARYANNE, L	CHIEF COMPLIANCE OFFICER	Na	yes	07/2006	Nov 16, 2011	Jul 2, 2012
STOWERS INSTITUTE FOR MEDICAL RESEARCH	SHAREHOLDER OF CLASS B SHARES	C	yes	11/2011	Nov 16, 2011	Jul 2, 2012
STOWERS RESOURCE MANAGEMENT, INC.	SHAREHOLDER OF CLASS A SHARES	C	yes	08/2008	Nov 16, 2011	Jul 2, 2012
THOMAS, JONATHAN, STUART	Director	Na	yes	02/2007	Nov 16, 2011	Jul 2, 2012
WAGGONER, JAMI, D	CHIEF FINANCIAL OFFICER, CHIEF ACCOUNTING OFFICER, CONTROLLER, TREASURER AND VICE PRESIDENT	Na	yes	06/2012	Jul 2, 2012	Jul 2, 2012
CANADIAN IMPERIAL BANK OF COMMERCE	SHAREHOLDER OF SPECIAL VOTING PREFERRED CLASS SHARES	E	no	09/2011	Nov 16, 2011	Jul 2, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AMERICAN CENTURY INVESTMENT MANAGEMENT INC	n/a	Asset manager	$306B	N	yes	n/a
AMERICAN CENTURY BROKERAGE, INC.	n/a	n/a	n/a	N	yes	n/a
AMERICAN CENTURY INVESTMENT SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
MOUNTAIN VIEW	CA	United States	n/a	no
Leawood	Ks	United States	n/a	no

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
2011	Mar 29, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ AMERICAN CENTURY INVESTMENT MANAGEMENT INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← THOMAS, JONATHAN, STUARTOwnerDIRECTOR, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← LEIS, JOHN, ANTHONYOwnerPRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← ETHERINGTON, CHARLES, AOwnerGENERAL COUNSEL, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← WAGGONER, JAMI, DOwnerCHIEF FINANCIAL OFFICER, CHIEF ACCOUNTING OFFICER, CONTROLLER, TREASURER AND VICE PRESIDENT, ownership code NA, individual
Jul 2, 2012 to presentfactForm ADV
← MCCLAIN, STEVEN, JOwnerSENIOR VICE PRESIDENT & DIRECTOR, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← ROEPKE, MARYANNE, LOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV
← AMERICAN CENTURY COMPANIES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 16, 2011 to presentfactForm ADV
← STOWERS INSTITUTE FOR MEDICAL RESEARCHOwnerSHAREHOLDER OF CLASS B SHARES, ownership code C, domestic entity
Nov 16, 2011 to presentfactForm ADV
← STOWERS RESOURCE MANAGEMENT, INC.OwnerSHAREHOLDER OF CLASS A SHARES, ownership code C, domestic entity
Nov 16, 2011 to presentfactForm ADV

Owns (1)

← CANADIAN IMPERIAL BANK OF COMMERCEOwnerSHAREHOLDER OF SPECIAL VOTING PREFERRED CLASS SHARES, ownership code E, foreign entity
Nov 16, 2011 to presentfactForm ADV

Registered with (52)

← Patrick F BeachAdvisorregistration: previous registration
May 4, 2009 to Dec 31, 2012factForm ADV
← AMY LEITNER ALLEYAdvisorregistration: previous registration
Jun 25, 2009 to Dec 31, 2012factForm ADV
← KATHERINE CHARLENE CARTERAdvisorregistration: previous registration
May 1, 2009 to Dec 31, 2012factForm ADV
← Kevin Wayne StoneAdvisorregistration: previous registration
Nov 10, 2004 to Dec 31, 2012factForm ADV
← JOHN ANTHONY LEISAdvisorregistration: previous registration
Nov 21, 2002 to Dec 31, 2012factForm ADV
← Christopher Joseph DeSimoneAdvisorregistration: previous registration
Jan 24, 2008 to Dec 31, 2012factForm ADV
← ROBERT WILLIAM MYERSAdvisorregistration: previous registration
Nov 26, 2002 to Dec 31, 2012factForm ADV
← JENNIFER LYNN BARRONAdvisorregistration: previous registration
Apr 13, 2006 to Dec 31, 2012factForm ADV
← MATTHEW COLE MCCONNELLAdvisorregistration: previous registration
Apr 10, 2006 to Dec 31, 2012factForm ADV
← DAVID RICHARD FORDAdvisorregistration: previous registration
Apr 13, 2006 to Dec 31, 2012factForm ADV
← BRENT HOSKINSAdvisorregistration: previous registration
Feb 17, 2010 to Dec 31, 2012factForm ADV
← Jason Lee TuckerAdvisorregistration: previous registration
Mar 16, 2006 to Dec 31, 2012factForm ADV
← Christopher Douglas GoodwinAdvisorregistration: previous registration
Nov 12, 2002 to Dec 31, 2012factForm ADV
← Jason Allen-Pechar HarrisonAdvisorregistration: previous registration
Jun 26, 2006 to Dec 31, 2012factForm ADV
← NEAL CHRISTOPHER DOLBEAREAdvisorregistration: previous registration
Mar 14, 2006 to Dec 31, 2012factForm ADV
← SEAN CHRISTOPHER DEVLINAdvisorregistration: previous registration
Feb 22, 2010 to Dec 31, 2012factForm ADV
← LUKE N EIDEAdvisorregistration: previous registration
Jan 31, 2007 to Dec 31, 2012factForm ADV
← Svetla D Vavova-CliffordAdvisorregistration: previous registration
Apr 18, 2011 to Dec 31, 2012factForm ADV
← DUONG TRUONG TRANAdvisorregistration: previous registration
Mar 14, 2011 to Dec 31, 2012factForm ADV
← BRANDON MICHAEL KRAUSAdvisorregistration: previous registration
Jun 25, 2009 to Dec 31, 2012factForm ADV
← Hannah Marie QuintonAdvisorregistration: previous registration
Dec 13, 2010 to Dec 31, 2012factForm ADV
← JOHN HAMILTON MACKAYAdvisorregistration: previous registration
Apr 11, 2008 to Dec 31, 2012factForm ADV
← Khiem Thi Truong - Von GarvischAdvisorregistration: previous registration
Jul 18, 2011 to Oct 30, 2012factForm ADV
← DONNA LYNN TILDENAdvisorregistration: previous registration
Mar 17, 2006 to Sep 10, 2012factForm ADV
← Melissa Jean DaileyAdvisorregistration: previous registration
Jun 7, 2011 to Jun 25, 2012factForm ADV
← JUSTIN DAVID WHEELERAdvisorregistration: previous registration
Mar 13, 2008 to Dec 14, 2011factForm ADV
← BRADFORD PRESTON MECKLENBURGAdvisorregistration: previous registration
May 21, 2009 to Nov 9, 2011factForm ADV
← Curtis J GrayAdvisorregistration: previous registration
Nov 10, 2009 to Nov 9, 2011factForm ADV
← MICHAEL BRIAN MILLSAdvisorregistration: previous registration
Aug 26, 2010 to Oct 20, 2011factForm ADV
← ALICE LEGAN MITCHELLAdvisorregistration: previous registration
Nov 24, 2010 to Sep 20, 2011factForm ADV
and 22 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:560e58ed-2442-bcde-d04b-76804a1cddc0
First observed: Nov 16, 2011
Last observed: Jul 2, 2012 173 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.

AMERICAN CENTURY ADVISORY SERVICES, INC.

CRD 121974

KANSAS CITY, MO

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:560e58ed-2442-bcde-d04b-76804a1cddc0

Data as of Jul 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:36 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMERICAN CENTURY COMPANIES, INC.

Shareholder

yes

01/2005

Nov 16, 2011

Jul 2, 2012

ETHERINGTON, CHARLES, A

GENERAL COUNSEL

yes

03/2007

Nov 16, 2011

Jul 2, 2012

LEIS, JOHN, ANTHONY

PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR

yes

06/2009

Nov 16, 2011

Jul 2, 2012

MCCLAIN, STEVEN, J

SENIOR VICE PRESIDENT & DIRECTOR

yes

01/2010

Nov 16, 2011

Jul 2, 2012

ROEPKE, MARYANNE, L

CHIEF COMPLIANCE OFFICER

yes

07/2006

Nov 16, 2011

Jul 2, 2012

STOWERS INSTITUTE FOR MEDICAL RESEARCH

SHAREHOLDER OF CLASS B SHARES

yes

11/2011

Nov 16, 2011

Jul 2, 2012

STOWERS RESOURCE MANAGEMENT, INC.

SHAREHOLDER OF CLASS A SHARES

yes

08/2008

Nov 16, 2011

Jul 2, 2012

THOMAS, JONATHAN, STUART

Director

yes

02/2007

Nov 16, 2011

Jul 2, 2012

WAGGONER, JAMI, D

CHIEF FINANCIAL OFFICER, CHIEF ACCOUNTING OFFICER, CONTROLLER, TREASURER AND VICE PRESIDENT

yes

06/2012

Jul 2, 2012

CANADIAN IMPERIAL BANK OF COMMERCE

SHAREHOLDER OF SPECIAL VOTING PREFERRED CLASS SHARES

09/2011

Nov 16, 2011

Jul 2, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMERICAN CENTURY INVESTMENT MANAGEMENT INC

n/a

Asset manager

$306B

yes

n/a

AMERICAN CENTURY BROKERAGE, INC.

n/a

yes

n/a

AMERICAN CENTURY INVESTMENT SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

MOUNTAIN VIEW

United States

n/a

Leawood

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

n/a