DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

TOWER WEALTH MANAGERS

TOWER WEALTH MANAGERS, INC., CRD 144791

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:568d53f1-8a40-c8fa-d9a5-8be8c24acb91

Data as of Dec 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Dec 23, 2021
30 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
Regulatory AUM: $1.9BItem 5.F on the latest filing (2021-12-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $13.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,126
Individual clients: 16
SEC number: 801-68636
CRD: 144791
Filings on the tape: 30
First filed: Mar 28, 2012
Latest filed: Dec 23, 2021
Organised: Corporation, Kansas

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
COUNTRY CLUB TRUST COMPANY CORE EQUITY FUND	Other Private Fund	$4.7M	May 22, 2017	34	Mar 28, 2012	dropped	n/a

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
AXON, DOUGLAS, E	Director	Na	yes	01/2011	Mar 28, 2012	Dec 23, 2021
CCB FINANCIAL CORPORATION	Shareholder	E	yes	06/1998	Mar 28, 2012	Dec 23, 2021
COUNTRY CLUB BANK, NATIONAL ASSOCIATION	Shareholder	E	yes	06/1998	Mar 28, 2012	Dec 23, 2021
COUNTRY CLUB TRUST COMPANY, NATIONAL ASSOCIATION	Shareholder	E	yes	07/2007	Mar 28, 2012	Dec 23, 2021
Hall, Mary, Suzanne	Director	Na	yes	04/2019	Jul 29, 2019	Dec 23, 2021
HENSE, JOHN, IRVIN	Director	Na	yes	04/2010	Mar 28, 2012	Dec 23, 2021
HOHENSTEIN, VICKI, LUANNE	Director	Na	yes	04/2014	May 23, 2014	Dec 23, 2021
JENKINS, CHALL, ALAN	Director	Na	yes	04/2017	Mar 30, 2018	Dec 23, 2021
MAGGIOROTTO, FRANK, CHARLES	PRESIDENT / CEO / DIRECTOR	Na	yes	08/2015	Feb 27, 2016	Dec 23, 2021
SCOTT, MARCUS, ANTHONY	DIRECTOR / CHIEF INVESTMENT OFFICER	Na	yes	07/2019	Jul 29, 2019	Dec 23, 2021
THOMPSON, BRIAN, CHRISTOPHER	Director	Na	yes	09/2007	Mar 28, 2012	Dec 23, 2021
THOMPSON, MARK, COLLINS	Director	Na	yes	09/2007	Mar 28, 2012	Dec 23, 2021
THOMPSON, TIMOTHY, J.	Director	Na	yes	04/2016	Mar 30, 2018	Dec 23, 2021
JONES, LESLIE, KINGSFORD	CHIEF COMPLIANCE OFFICER	Na	no	04/2018	May 3, 2018	Dec 23, 2021

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
COUNTRY CLUB FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$7.5M	N	yes	n/a
COUNTRY CLUB BANK	n/a	n/a	n/a	Y	yes	n/a
COUNTRY CLUB TRUST COMPANY, N.A.	n/a	n/a	n/a	Y	yes	Mo

Offices

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

City	State	Country	Employees	Also broker-dealer
PRAIRIE VILLAGE	Ks	United States	9	yes

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
2020	Feb 23, 2021	$1.9B	$1.8B	16	9	1	n/a	n/a
2019	Mar 25, 2020	$1.8B	$1.8B	16	9	1	n/a	n/a
2018	Mar 26, 2019	$1.6B	$1.6B	16	9	1	n/a	n/a
2017	Mar 30, 2018	$1.6B	$1.6B	16	9	1	n/a	n/a
2016	Mar 1, 2017	$1.4B	$1.4B	14	8	n/a	1	$4.7M
2015	Feb 27, 2016	$1.3B	$1.3B	13	8	n/a	1	$5.1M
2014	Mar 11, 2015	$1.3B	$1.3B	12	6	n/a	1	$5.8M
2013	Mar 20, 2014	$1.3B	$1.3B	13	6	n/a	1	$5.9M
2012	Mar 19, 2013	$1.2B	$1.2B	13	6	n/a	1	$5.0M
2011	Mar 28, 2012	$1.1B	$1.1B	n/a	n/a	n/a	1	$5.5M

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
2020	$1.9B	$1.8B	4.6%	$1.6B	5.4%	16	16	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST NATIONAL ADVISERS, LLC	2	Dec 31, 2021	Jul 29, 2026	KANSAS CITY, MO	Team lift out	Other	28.6%

Relationships

Affiliated with (2)

→ COUNTRY CLUB FINANCIAL SERVICES, INC.Registered adviserbroker-dealer, common control
factForm ADV
← COUNTRY CLUB FINANCIAL SERVICES, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (13)

← MAGGIOROTTO, FRANK, CHARLESOwnerPRESIDENT / CEO / DIRECTOR, ownership code NA, individual
Feb 27, 2016 to presentfactForm ADV
← HENSE, JOHN, IRVINOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← JENKINS, CHALL, ALANOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV
← THOMPSON, BRIAN, CHRISTOPHEROwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← SCOTT, MARCUS, ANTHONYOwnerDIRECTOR / CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 29, 2019 to presentfactForm ADV
← THOMPSON, TIMOTHY, J.OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV
← THOMPSON, MARK, COLLINSOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← AXON, DOUGLAS, EOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← Hall, Mary, SuzanneOwnerDIRECTOR, ownership code NA, individual
Jul 29, 2019 to presentfactForm ADV
← HOHENSTEIN, VICKI, LUANNEOwnerDIRECTOR, ownership code NA, individual
May 23, 2014 to presentfactForm ADV
← CCB FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← COUNTRY CLUB BANK, NATIONAL ASSOCIATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← COUNTRY CLUB TRUST COMPANY, NATIONAL ASSOCIATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← JONES, LESLIE, KINGSFORDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 3, 2018 to presentfactForm ADV

Moved with (1)

→ FIRST NATIONAL ADVISERS, LLCRegistered adviser2 advisors, team lift out
Dec 31, 2021 to Jul 29, 2026factForm ADV

Registered with (10)

← FRANK CHARLES MAGGIOROTTOAdvisorregistration: previous registration
Nov 6, 2015 to Jan 3, 2022factForm ADV
← MARCUS ANTHONY SCOTTAdvisorregistration: previous registration
Jul 5, 2018 to Dec 31, 2021factForm ADV
← Christopher Alan WolffAdvisorregistration: previous registration
Jan 16, 2018 to Dec 31, 2021factForm ADV
← PAUL B RACCUGLIAAdvisorregistration: previous registration
Oct 21, 2011 to Dec 31, 2021factForm ADV
← ANDREW BRANDT BRADSHAWAdvisorregistration: previous registration
Dec 26, 2018 to Dec 31, 2021factForm ADV
← BILLIE L MCCLAINAdvisorregistration: previous registration
Nov 8, 2011 to Dec 31, 2021factForm ADV
← VICKI LUANNE HOHENSTEINAdvisorregistration: previous registration
Apr 7, 2008 to Dec 31, 2021factForm ADV
← CAREY BRET MORRISONAdvisorregistration: previous registration
Nov 18, 2011 to Jul 13, 2015factForm ADV
← WILLIAM EDWARD KOEHLERAdvisorregistration: previous registration
Feb 27, 2012 to Aug 5, 2014factForm ADV
← CHAD RICHARD BATTISONAdvisorregistration: previous registration
Jan 14, 2009 to Aug 5, 2011factForm ADV

Advises (1)

→ COUNTRY CLUB TRUST COMPANY CORE EQUITY FUNDPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2012 to May 22, 2017factForm ADV

Dated events

Occurred
Jan 3, 2022
Advisor changed firm
Frank Charles Maggiorotto left Tower Wealth Managers for First National Advisers, Llc (registered 2026-07-29)
Form ADVobserved 4 days ago
Occurred
Jul 29, 2019
Control person left
Lowell James Cole (Director) no longer on Schedule A of Tower Wealth Managers (listed 2019-06-28, absent 2019-07-29)
Form ADVobserved 4 days ago
Occurred
Jul 29, 2019
Control person joined
Suzanne Mary Hall (Director) appeared on Schedule A of Tower Wealth Managers
Form ADVobserved 4 days ago
Occurred
Jul 29, 2019
Control person joined
Anthony Marcus Scott (Director / Chief Investment Officer) appeared on Schedule A of Tower Wealth Managers
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:568d53f1-8a40-c8fa-d9a5-8be8c24acb91
First observed: Mar 28, 2012
Last observed: Dec 23, 2021 57 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.

TOWER WEALTH MANAGERS

TOWER WEALTH MANAGERS, INC., CRD 144791

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:568d53f1-8a40-c8fa-d9a5-8be8c24acb91

Data as of Dec 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

COUNTRY CLUB TRUST COMPANY CORE EQUITY FUND

Other Private Fund

$4.7M

May 22, 2017

Mar 28, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AXON, DOUGLAS, E

Director

yes

01/2011

Mar 28, 2012

Dec 23, 2021

CCB FINANCIAL CORPORATION

Shareholder

yes

06/1998

Mar 28, 2012

Dec 23, 2021

COUNTRY CLUB BANK, NATIONAL ASSOCIATION

Shareholder

yes

06/1998

Mar 28, 2012

Dec 23, 2021

COUNTRY CLUB TRUST COMPANY, NATIONAL ASSOCIATION

Shareholder

yes

07/2007

Mar 28, 2012

Dec 23, 2021

Hall, Mary, Suzanne

Director

yes

04/2019

Jul 29, 2019

Dec 23, 2021

HENSE, JOHN, IRVIN

Director

yes

04/2010

Mar 28, 2012

Dec 23, 2021

HOHENSTEIN, VICKI, LUANNE

Director

yes

04/2014

May 23, 2014

Dec 23, 2021

JENKINS, CHALL, ALAN

Director

yes

04/2017

Mar 30, 2018

Dec 23, 2021

MAGGIOROTTO, FRANK, CHARLES

PRESIDENT / CEO / DIRECTOR

yes

08/2015

Feb 27, 2016

Dec 23, 2021

SCOTT, MARCUS, ANTHONY

DIRECTOR / CHIEF INVESTMENT OFFICER

yes

07/2019

Jul 29, 2019

Dec 23, 2021

THOMPSON, BRIAN, CHRISTOPHER

Director

yes

09/2007

Mar 28, 2012

Dec 23, 2021

THOMPSON, MARK, COLLINS

Director

yes

09/2007

Mar 28, 2012

Dec 23, 2021

THOMPSON, TIMOTHY, J.

Director

yes

04/2016

Mar 30, 2018

Dec 23, 2021

JONES, LESLIE, KINGSFORD

CHIEF COMPLIANCE OFFICER

04/2018

May 3, 2018

Dec 23, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

COUNTRY CLUB FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$7.5M

yes

n/a

COUNTRY CLUB BANK

n/a

yes

n/a

COUNTRY CLUB TRUST COMPANY, N.A.

n/a

yes

City

State

Country

Employees

Also broker-dealer

PRAIRIE VILLAGE

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Feb 23, 2021

$1.9B

$1.8B

n/a

2019

Mar 25, 2020

$1.8B

n/a

2018

Mar 26, 2019

$1.6B

n/a

2017

Mar 30, 2018

$1.6B

n/a

2016

Mar 1, 2017

$1.4B

n/a

$4.7M

2015

Feb 27, 2016

$1.3B

n/a

$5.1M

2014

Mar 11, 2015

$1.3B

n/a

$5.8M

2013

Mar 20, 2014

$1.3B

n/a

$5.9M

2012

Mar 19, 2013

$1.2B

n/a

$5.0M

2011

Mar 28, 2012

$1.1B

n/a

$5.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.9B

$1.8B

4.6%

$1.6B

5.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST NATIONAL ADVISERS, LLC

Dec 31, 2021

Jul 29, 2026

KANSAS CITY, MO

Team lift out

Other

28.6%