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CRD 17073
KANSAS CITY, 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 |
|---|---|---|---|---|---|---|
| JANICE LYNN TRIMMELL | n/a | Overland Park, KS | Kansas City, MO | KANSAS CITY, MO | 22 | 39 | n/a | yes |
| ADAM KEITH PERKINS | n/a | Leawood, KS | St Louis, MO | O'Fallon, MO | CLAYTON, MO | 20 | 26 | 3 | yes |
| ANGELA GAYE GATES | n/a | KANSAS CITY, MO | Lee's Summit, MO | 18 | 33 | n/a | yes |
| GREGORY ARVIS AMAN | n/a | Leawood, KS | O'Fallon, MO | CLAYTON, MO | 16 | 27 | n/a | yes |
| MICHELLE RENEE KRAINTZ | n/a | BELLEVILLE, IL | Swansea, IL | Leawood, KS | 16 | 35 | n/a | yes |
| CHAD WILLIAM CLEMENT | n/a | Leawood, KS | 14 | 25 | n/a | yes |
| MICHAEL PHILIP SABETTA | n/a | Gilbert, AZ | Leawood, KS | 13 | 24 | n/a | no |
| PHILLIP JAMES MASON | n/a | KANSAS CITY, MO | Overland Park, KS | 12 | 21 | n/a | yes |
| DARCI NICOLE EMERSON | n/a | KANSAS CITY, MO | Kansas City, MO | ST. LOUIS, MO | 12 | 24 | 1 | yes |
| BRAD ALLEN SWANSON | n/a | Thornton, CO | DENVER, CO | Leawood, KS | 11 | 16 | n/a | yes |
| FRANCIS M SCHEUERMAN | n/a | Kansas City, MO | KANSAS CITY, MO | 11 | 15 | n/a | yes |
| JAMES MICHAEL CARLILE | n/a | KANSAS CITY, MO | Lenexa, KS | 10 | 13 | n/a | yes |
| Katherine Ann Shands | n/a | St Louis, MO | ST. LOUIS, MO | 10 | 11 | n/a | yes |
| Steven Joseph WINGET | n/a | ST. LOUIS, MO | Prairie Village, KS | KANSAS CITY, MO | 10 | 10 | n/a | yes |
| Colin James Horning | n/a | Leawood, KS | Scottsdale, AZ | 9 | 11 | n/a | no |
| Chad William Treacy | n/a | St Louis, MO | Leawood, KS | ST. LOUIS, MO | 9 | 14 | n/a | no |
| DEBORAH LUCILLE ALEXANDER | n/a | KANSAS CITY, MO | Lees Summitt, MO | 9 | 25 | n/a | yes |
| KAREN ANNE NUMI | Certified Financial Planner | Leawood, KS | CLAYTON, MO | Collinsville, IL | 9 | 24 | 2 | yes |
| KENNETH DAVID DOW | n/a | Leawood, KS | ST. LOUIS, MO | Chesterfield, MO | 8 | 28 | 2 | yes |
| CRAIG HERMAN SUTHERLAND | n/a | KANSAS CITY, MO | 8 | 15 | 1 | yes |
| Chloe Elizabeth Alexander | n/a | KANSAS CITY, MO | Kansas City, MO | 7 | 13 | n/a | yes |
| Narine Karenovna Avanesova | n/a | Highland Ranch, CO | Leawood, KS | DENVER, CO | 7 | 17 | n/a | yes |
| MATTHEW ROGER LUNDE | n/a | Leawood, KS | Dallas, TX | 7 | 19 | 2 | yes |
| NICHOLAS ERIC LUCHTEFELD | n/a | ST. LOUIS, MO | Smithton, IL | St Charles, MO | 5 | 21 | n/a | yes |
| MICHAEL D CLEVELAND | n/a | ARNOLD, MO | Collinsville, IL | Leawood, KS | BELLEVILLE, IL | 4 | 16 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GATES, ANGELA GAYE | FINOP / PRESIDENT / DIRECTOR / PFO / POO / TREASURER | Na | yes | 10/2009 | Mar 5, 2012 | Mar 7, 2024 |
| MAXWELL, JEFFREY THOMAS | CAO, SVP | Na | yes | 08/2005 | Mar 5, 2012 | Mar 7, 2024 |
| UMB FINANCIAL CORP | Stockholder | E | yes | 05/2015 | Mar 5, 2012 | Mar 7, 2024 |
| LONG, CHRISTOPHER SHELDON | CHIEF COMPLIANCE OFFICER | Na | no | 01/2020 | Jan 23, 2020 | Mar 7, 2024 |
| MASON, PHILLIP JAMES | Director | Na | no | 01/2017 | Jan 31, 2017 | Mar 7, 2024 |
| MASSEY, THOMAS HAROLD | Director | Na | no | 01/2023 | Mar 22, 2023 | Mar 7, 2024 |
| PAULS, JOHN CHARLES | ASSISTANT SECRETARY | Na | no | 08/2004 | Jan 31, 2017 | Mar 7, 2024 |
| SKILLING, BENJAMIN JOSEPH | Director | Na | no | 01/2023 | Mar 22, 2023 | Mar 7, 2024 |
| STEPHENS, JAMES MATTHEW | Secretary | Na | no | 05/2015 | Jan 31, 2017 | Mar 7, 2024 |
| TURNER, JIMMY RAY JR | Director | Na | no | 01/2020 | Jan 23, 2020 | Mar 7, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| UMB FINANCIAL SERVICES, INC. | n/a | Independent wealth | $5.0M | N | yes | n/a |
| UMB BANK | n/a | n/a | n/a | Y | no | n/a |
| UMB INSURANCE INC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Leawood | Ks | United States | 8 | yes |
| ST LOUIS | Mo | United States | 7 | yes |
| Denver | Co | United States | 6 | yes |
| KANSAS CITY | Mo | United States | 5 | yes |
| Clayton | Mo | United States | 3 | yes |
| KANSAS CITY | Mo | United States | 3 | yes |
| Belleville | IL | United States | 2 | yes |
| Collinsville | IL | United States | 2 | yes |
| Springfield | Mo | United States | 2 | yes |
| Phoenix | Az | United States | 1 | yes |
| COLORADO SPRINGS | Co | United States | 1 | yes |
| Arnold | Mo | United States | 1 | yes |
| O'FALLON | Mo | United States | 1 | yes |
| ST LOUIS | Mo | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 14, 2026 | $5.0M | $0 | 55 | 54 | 19 | n/a | n/a |
| 2024 | Mar 5, 2025 | $3.1M | $0 | 51 | 51 | 15 | n/a | n/a |
| 2023 | Mar 7, 2024 | $730,778 | $0 | 58 | 58 | 14 | n/a | n/a |
| 2022 | Mar 22, 2023 | $1.4M | $0 | 62 | 62 | 16 | n/a | n/a |
| 2021 | Mar 22, 2022 | $27.1M | $0 | 64 | 64 | 16 | n/a | n/a |
| 2020 | Mar 30, 2021 | $40.0M | $0 | 70 | 70 | 19 | n/a | n/a |
| 2019 | Mar 13, 2020 | $41.0M | $0 | 70 | 70 | 21 | n/a | n/a |
| 2018 | Mar 26, 2019 | $29.2M | $0 | 70 | 70 | 27 | n/a | n/a |
| 2017 | Mar 2, 2018 | $23.6M | $0 | 70 | 70 | 27 | n/a | n/a |
| 2016 | Mar 3, 2017 | $16.9M | $0 | 70 | 70 | n/a | n/a | n/a |
| 2015 | Mar 23, 2016 | $10.8M | $0 | 60 | 60 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | n/a | n/a | 62 | 62 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | n/a | n/a | 60 | 57 | n/a | n/a | n/a |
| 2012 | Mar 5, 2013 | n/a | n/a | 60 | 50 | n/a | n/a | n/a |
| 2011 | Mar 5, 2012 | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 7 | 18 | -11 | 40.9% | 1 | 2 | 0 | 17 | 27 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.0M | $3.1M | 64.3% | $1.4M | 53.4% | 55 | 51 | 19 | 15 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | May 12, 2026 | May 11, 2026 | KANSAS CITY, MO | Team lift out | RIA to ibd | 4.5% |
| UMB PRIVATE WEALTH MANAGEMENT, LLC | 3 | Apr 30, 2026 | May 13, 2026 | LEAWOOD, KS | Team lift out | Other | 6.1% |
| UMB PRIVATE WEALTH MANAGEMENT, LLC | 2 | Apr 30, 2026 | May 19, 2026 | KANSAS CITY, MO | Team lift out | Other | 4.1% |
| UMB PRIVATE WEALTH MANAGEMENT, LLC | 2 | Apr 14, 2026 | May 13, 2026 | DERBY, KS | Team lift out | Other | 3.8% |
| UMB PRIVATE WEALTH MANAGEMENT, LLC | 2 | Apr 14, 2026 | May 12, 2026 | KANSAS CITY, MO | Team lift out | Other | 3.8% |
| WELLS FARGO ADVISORS | 2 | Aug 30, 2023 | Aug 29, 2023 | KANSAS CITY, MO | Team lift out | Ibd to wirehouse | 3.9% |
| PRAIRIE CAPITAL MANAGEMENT GROUP, LLC | 2 | Apr 1, 2021 | Apr 20, 2021 | KANSAS CITY, MO | Team lift out | Other | 4.1% |
| WELLS FARGO ADVISORS | 2 | Jun 30, 2017 | Jun 29, 2017 | ST LOUIS, MO | Team lift out | Other | 4.3% |
| ARVEST WEALTH MANAGEMENT | 2 | Apr 19, 2016 | May 23, 2016 | SPRINGFIELD, MO | Team lift out | Other | 4.8% |
| PRAIRIE CAPITAL MANAGEMENT GROUP, LLC | 2 | Feb 4, 2016 | Apr 20, 2021 | KANSAS CITY, MO | Team lift out | Other | 4.3% |
| PRAIRIE CAPITAL MANAGEMENT, LLC | 2 | Apr 8, 2015 | May 5, 2015 | KANSAS CITY, MO | Channel change | Other | 4.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Jun 5, 2026 | Jun 3, 2026 | SCHNECKSVILLE, PA | Team lift out | Ibd to RIA | 0.0% |
| PRAIRIE CAPITAL MANAGEMENT, LLC | 2 | Apr 12, 2021 | Jul 15, 2014 | KANSAS CITY, MO | Channel change | RIA to ibd | 13.3% |