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CRD 113914
SPRINGFIELD, 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 |
|---|---|---|---|---|---|---|
| B•••• D•••• A•••• | Certified Financial Planner | SPRINGFIELD, MO | 21 | 36 | n/a | no |
| C••••••••• R••••• T•••••• | n/a | SPRINGFIELD, MO | 8 | 28 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• B••••• D•••• | FOUNDER, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER | E | yes | 01/2023 | Jan 6, 2012 | Mar 7, 2024 |
| A••••• E•••••••• | CHIEF COMPLIANCE OFFICER | Na | no | 01/2023 | Feb 15, 2023 | Mar 7, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Joplin | Mo | United States | 1 | no |
| Springfield | Mo | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.4B | $4.9B | 10.2% | $4.3B | 8.3% | 17 | 18 | 2 | 2 |
| no |
| E•••••••• A•••• | n/a | SPRINGFIELD, MO | 4 | 20 | n/a | no |
| Z•••••• H• A•••• | Chartered Financial Analyst | SPRINGFIELD, MO | 2 | 12 | n/a | no |
| M••••••• H•••••••• | n/a | SPRINGFIELD, MO | 1 | 11 | n/a | no |
| E••• D• M•••••• | Certified Financial Planner | SPRINGFIELD, MO | 0 | 10 | n/a | no |
| Principal |
| B |
| no |
| 12/2017 |
| Jan 6, 2012 |
| Mar 7, 2024 |
| $5.4B |
| $2.5B |
| 17 |
| 6 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 3, 2025 | $4.9B | $2.4B | 18 | 6 | 2 | n/a | n/a |
| 2023 | Mar 7, 2024 | $4.4B | $1.9B | 20 | 5 | 2 | n/a | n/a |
| 2022 | Feb 15, 2023 | $4.3B | $2.1B | 18 | 5 | 1 | n/a | n/a |
| 2021 | Mar 9, 2022 | $5.1B | $2.4B | 19 | 8 | 1 | n/a | n/a |
| 2020 | Mar 29, 2021 | $4.4B | $2.0B | 20 | 9 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $3.8B | $1.6B | 20 | 7 | 1 | n/a | n/a |
| 2018 | Mar 20, 2019 | $3.3B | $1.2B | 22 | 12 | 1 | n/a | n/a |
| 2017 | Mar 7, 2018 | $3.4B | $1.1B | 23 | 10 | 1 | n/a | n/a |
| 2016 | Mar 17, 2017 | $2.9B | $855M | 21 | 10 | n/a | n/a | n/a |
| 2015 | Feb 17, 2016 | $259M | $259M | 22 | 9 | n/a | n/a | n/a |
| 2014 | Feb 13, 2015 | $0 | $0 | 23 | 11 | n/a | n/a | n/a |
| 2013 | Feb 28, 2014 | n/a | n/a | 24 | 8 | n/a | n/a | n/a |
| 2012 | Feb 12, 2013 | n/a | n/a | 17 | 5 | n/a | n/a | n/a |
| 2011 | Mar 19, 2012 | n/a | n/a | n/a | n/a | n/a | n/a | n/a |