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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

COMMERCE BROKERAGE SERVICES, INC

COMMERCE BROKERAGE SERVICES, INC., CRD 17140

CLAYTON, 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:6a84e2a1-30c1-7349-13eb-af07fbdacc48

Data as of Nov 6, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 84
Dated events: 12
On other graphs: 0
Observed: Mar 30, 2012 to Nov 6, 2023
54 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: $650MItem 5.F on the latest filing (2023-11-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $645MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees: 28
Offices: 33Schedule D 1.F, beyond the principal office
Accounts: 3,570
Individual clients: 3,467
High net worth clients: 76
SEC number: 801-66509
CRD: 17140
Filings on the tape: 54
First filed: Mar 30, 2012
Latest filed: Nov 6, 2023
Organised: Corporation, Missouri

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
COMMERCE BANCSHARES, INC.	SOLE OWNER	E	yes	05/1984	Mar 30, 2012	Nov 6, 2023
COMMERCE BANK	SOLE STOCKHOLDER	E	yes	06/1992	Mar 30, 2012	Nov 6, 2023
SWANSON, ERIK ANDREW	PRESIDENT & CEO	Na	yes	11/2022	Jun 10, 2022	Nov 6, 2023
KOENIG, SHERREL BETZ	Director	Na	no	09/2023	Mar 17, 2020	Nov 6, 2023
REECE, JOSEPH STEVEN	CHIEF COMPLIANCE OFFICER	Na	no	04/2022	Apr 26, 2022	Nov 6, 2023
ROWE, MARGARET	CORPORATE SECRETARY	Na	no	06/2022	Jun 10, 2022	Nov 6, 2023
SIMPSON, TIFFANY LYNN	PRINCIPAL FINANCIAL OFFICER	Na	no	01/2017	Mar 21, 2017	Nov 6, 2023

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
COMMERCE INVESTMENT ADVISORS, INC.	n/a	Asset manager	$2.5B	N	yes	n/a
COMMERCE BANK	n/a	n/a	n/a	N	yes	n/a
COMMERCE BANK	n/a	n/a	n/a	Y	yes	n/a
COMMERCE INSURANCE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
COMMERCE TRUST COMPANY	n/a	n/a	n/a	Y	yes	n/a
L.J. HART AND COMPANY	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; showing 30 of 33

City	State	Country	Employees	Also broker-dealer
Springfield	Mo	United States	3	yes
Belleville	IL	United States	1	yes
Bloomington	IL	United States	1	yes
Peoria	IL	United States	1	yes
GARDEN CITY	Ks	United States	1	yes
Hays	Ks	United States	1	yes
Leavenworth	Ks	United States	1	yes
Leawood	Ks	United States	1	yes
Lenexa	Ks	United States	1	yes
Manhattan	Ks	United States	1	yes
Pittsburg	Ks	United States	1	yes
Shawnee	Ks	United States	1	yes
Wichita	Ks	United States	1	yes
Affton	Mo	United States	1	yes
CAPE GIRARDEAU	Mo	United States	1	yes
Chesterfield	Mo	United States	1	yes
Columbia	Mo	United States	1	yes
Columbia	Mo	United States	1	yes
Fenton	Mo	United States	1	yes
Festus	Mo	United States	1	yes
Florissant	Mo	United States	1	yes
Joplin	Mo	United States	1	yes
KANSAS CITY	Mo	United States	1	yes
KANSAS CITY	Mo	United States	1	yes
KANSAS CITY	Mo	United States	1	yes
Kirkwood	Mo	United States	1	yes
LEE'S SUMMIT	Mo	United States	1	yes
O'FALLON	Mo	United States	1	yes
Oakville	Mo	United States	1	yes
POPLAR BLUFF	Mo	United States	1	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
2022	Mar 30, 2023	$650M	$0	37	28	33	n/a	n/a
2021	Mar 18, 2022	$778M	$0	37	28	35	n/a	n/a
2020	Mar 3, 2021	$635M	$0	39	31	35	n/a	n/a
2019	Mar 17, 2020	$564M	$0	33	33	33	n/a	n/a
2018	Mar 26, 2019	$462M	$0	32	32	39	n/a	n/a
2017	Mar 30, 2018	$487M	$0	40	35	39	n/a	n/a
2016	Mar 21, 2017	$382M	$0	47	30	n/a	n/a	n/a
2015	Mar 14, 2016	$346M	$346M	47	30	n/a	n/a	n/a
2014	Mar 27, 2015	$312M	$0	40	30	n/a	n/a	n/a
2013	Mar 28, 2014	$251M	$0	40	30	n/a	n/a	n/a
2012	Jan 4, 2013	$170M	$0	50	30	n/a	n/a	n/a
2011	Mar 30, 2012	$139M	$0	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
2022	$650M	$778M	-16.4%	$564M	4.9%	37	37	33	35

Relationships

showing 80 of 84

Affiliated with (2)

← COMMERCE INVESTMENT ADVISORS, INC.Registered adviserbroker-dealer, common control
factForm ADV
→ COMMERCE INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Owns (4)

← REECE, JOSEPH STEVENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 26, 2022 to presentfactForm ADV
← KOENIG, SHERREL BETZOwnerDIRECTOR, ownership code NA, individual
Mar 17, 2020 to presentfactForm ADV
← SIMPSON, TIFFANY LYNNOwnerPRINCIPAL FINANCIAL OFFICER, ownership code NA, individual
Mar 21, 2017 to presentfactForm ADV
← ROWE, MARGARETOwnerCORPORATE SECRETARY, ownership code NA, individual
Jun 10, 2022 to presentfactForm ADV

Controls (3)

← SWANSON, ERIK ANDREWOwnerPRESIDENT & CEO, ownership code NA, individual
Jun 10, 2022 to presentfactForm ADV
← COMMERCE BANCSHARES, INC.OwnerSOLE OWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← COMMERCE BANKOwnerSOLE STOCKHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (71)

← LISA ANN MAYAdvisorregistration: previous registration
Jan 21, 2011 to Aug 16, 2023factForm ADV
← LORI DEE MACKABENAdvisorregistration: previous registration
May 4, 2006 to Aug 16, 2023factForm ADV
← BETH ANN HOOCKAdvisorregistration: previous registration
Nov 15, 2010 to Aug 16, 2023factForm ADV
← MICHAEL ROBERT HOLDERAdvisorregistration: previous registration
Jul 22, 2002 to Aug 16, 2023factForm ADV
← AARON MARK ALEXANDERAdvisorregistration: previous registration
Oct 22, 2012 to Aug 16, 2023factForm ADV
← JOSEPH MICHAEL COSTELLOAdvisorregistration: previous registration
Apr 29, 2008 to Aug 16, 2023factForm ADV
← ERIC GREGORY OPPELZAdvisorregistration: previous registration
Jan 4, 2016 to Aug 16, 2023factForm ADV
← CHRISTOPHER LAYNE WARDAdvisorregistration: previous registration
Dec 22, 2010 to Aug 16, 2023factForm ADV
← KYLE SCOTT CLEMSONAdvisorregistration: previous registration
Jan 3, 2020 to Aug 16, 2023factForm ADV
← CAMILLE MARIE MAROLFAdvisorregistration: previous registration
Oct 4, 2013 to Aug 16, 2023factForm ADV
← STEVEN ANTHONY GAMBINOAdvisorregistration: previous registration
May 9, 2018 to Aug 16, 2023factForm ADV
← JOHN TYLER STEVENSAdvisorregistration: previous registration
Nov 5, 2015 to Aug 16, 2023factForm ADV
← NATALIE MARIE KRANZAdvisorregistration: previous registration
Oct 4, 2019 to Aug 16, 2023factForm ADV
← DANIEL RICHARD MATTERAdvisorregistration: previous registration
Sep 19, 2011 to Aug 16, 2023factForm ADV
← Vijay BrahmbhattAdvisorregistration: previous registration
Oct 25, 2018 to Aug 16, 2023factForm ADV
← DANIEL JOSEPH ESSELMANAdvisorregistration: previous registration
Aug 23, 2017 to Aug 16, 2023factForm ADV
← KAREN HARTHAdvisorregistration: previous registration
Jan 23, 2017 to Aug 16, 2023factForm ADV
← Codie M SchlotterbeckAdvisorregistration: previous registration
Feb 16, 2016 to Aug 16, 2023factForm ADV
← MICHAEL CHRISTOPHER UNNERSTALLAdvisorregistration: previous registration
Dec 9, 2015 to Aug 16, 2023factForm ADV
← BRITTANY DAWN THOMPSONAdvisorregistration: previous registration
Sep 2, 2022 to Aug 16, 2023factForm ADV
← SETH ALLAN KEETHLERAdvisorregistration: previous registration
Jun 29, 2021 to Aug 16, 2023factForm ADV
← DALLAS COY CLEMENSAdvisorregistration: previous registration
Apr 26, 2019 to Aug 16, 2023factForm ADV
← Maxwell Jared SynonAdvisorregistration: previous registration
Jan 16, 2019 to Aug 16, 2023factForm ADV
← ANDREW C LOVEAdvisorregistration: previous registration
Sep 4, 2019 to Aug 16, 2023factForm ADV
← ROBERT J PHILLIPSAdvisorregistration: previous registration
May 27, 2020 to Aug 16, 2023factForm ADV
← DARRIN ADRIAN ANDREWSAdvisorregistration: previous registration
May 9, 2023 to Aug 16, 2023factForm ADV
← JAMES THOMAS BLALOCKAdvisorregistration: previous registration
Jul 22, 2022 to Aug 16, 2023factForm ADV
← JOHN ALAN LOCKHARTAdvisorregistration: previous registration
Feb 21, 2023 to Aug 16, 2023factForm ADV
← CLAUDE WILSONAdvisorregistration: previous registration
Jun 20, 2022 to May 9, 2023factForm ADV
← GARRETT BOHLERAdvisorregistration: previous registration
Feb 22, 2023 to Apr 3, 2023factForm ADV
and 41 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 9, 2023
Advisor changed firm
Claude Wilson left Commerce Brokerage Services, Inc for Cetera Investment Advisers Llc (registered 2023-05-19)
Form ADVobserved 5 days ago
Occurred
Apr 3, 2023
Advisor changed firm
Garrett Bohler left Commerce Brokerage Services, Inc for Stifel, Nicolaus & Company, Incorporated (registered 2023-04-05)
Form ADVobserved 5 days ago
Occurred
Mar 2, 2023
Advisor changed firm
Jonathan Henry Woodruff left Commerce Brokerage Services, Inc for Cetera Investment Advisers Llc (registered 2024-03-21)
Form ADVobserved 5 days ago
Occurred
Sep 9, 2022
Advisor changed firm
Cindy Lou Ellis left Commerce Brokerage Services, Inc for Lpl Financial Llc (registered 2022-10-17)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2022
Control person joined
Erik Andrew Swanson (Executive Vice President) appeared on Schedule A of Commerce Brokerage Services, Inc
Form ADVobserved 5 days ago
Occurred
Feb 16, 2022
Advisor changed firm
Paul L Banks left Commerce Brokerage Services, Inc for The Worley Banks Group, Llc (registered 2022-04-19)
Form ADVobserved 5 days ago
Occurred
Jan 18, 2022
Advisor changed firm
Christopher J Mcneil left Commerce Brokerage Services, Inc for Pruco Securities, Llc (registered 2022-01-21)
Form ADVobserved 5 days ago
Occurred
Aug 11, 2021
Control person left
Jeffrey Daniel Burgess (President) no longer on Schedule A of Commerce Brokerage Services, Inc (listed 2021-07-20, absent 2021-08-11)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2019
Control person left
Arthur Alexander Iii Clyne (Sales Manager) no longer on Schedule A of Commerce Brokerage Services, Inc (listed 2019-04-03, absent 2019-07-05)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person left
Christopher Scott Radzom (Chief Operating Officer) no longer on Schedule A of Commerce Brokerage Services, Inc (listed 2019-03-26, absent 2019-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
Commerce Brokerage Services, Inc reported RAUM $486.8M, up 27% from $382.1M (2017-07-11 to 2018-03-30)
Form ADVobserved 5 days ago
$105M

Show 1 bookkeeping events

Occurred
Mar 17, 2020
Commerce Brokerage Services, Inc reported 33 offices beyond its principal office, down from 39 (2020-03-03 to 2020-03-17)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a84e2a1-30c1-7349-13eb-af07fbdacc48
First observed: Mar 30, 2012
Last observed: Nov 6, 2023 34 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.

COMMERCE BROKERAGE SERVICES, INC

COMMERCE BROKERAGE SERVICES, INC., CRD 17140

CLAYTON, 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:6a84e2a1-30c1-7349-13eb-af07fbdacc48

Data as of Nov 6, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COMMERCE BANCSHARES, INC.

SOLE OWNER

yes

05/1984

Mar 30, 2012

Nov 6, 2023

COMMERCE BANK

SOLE STOCKHOLDER

yes

06/1992

Mar 30, 2012

Nov 6, 2023

SWANSON, ERIK ANDREW

PRESIDENT & CEO

yes

11/2022

Jun 10, 2022

Nov 6, 2023

KOENIG, SHERREL BETZ

Director

09/2023

Mar 17, 2020

Nov 6, 2023

REECE, JOSEPH STEVEN

CHIEF COMPLIANCE OFFICER

04/2022

Apr 26, 2022

Nov 6, 2023

ROWE, MARGARET

CORPORATE SECRETARY

06/2022

Jun 10, 2022

Nov 6, 2023

SIMPSON, TIFFANY LYNN

PRINCIPAL FINANCIAL OFFICER

01/2017

Mar 21, 2017

Nov 6, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

COMMERCE INVESTMENT ADVISORS, INC.

n/a

Asset manager

$2.5B

yes

n/a

COMMERCE BANK

n/a

yes

n/a

COMMERCE BANK

n/a

yes

n/a

COMMERCE INSURANCE SERVICES, INC.

n/a

yes

n/a

COMMERCE TRUST COMPANY

n/a

yes

n/a

L.J. HART AND COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Springfield

United States

yes

Belleville

United States

yes

Bloomington

United States

yes

Peoria

United States

yes

GARDEN CITY

United States

yes

Hays

United States

yes

Leavenworth

United States

yes

Leawood

United States

yes

Lenexa

United States

yes

Manhattan

United States

yes

Pittsburg

United States

yes

Shawnee

United States

yes

Wichita

United States

yes

Affton

United States

yes

CAPE GIRARDEAU

United States

yes

Chesterfield

United States

yes

Columbia

United States

yes

Columbia

United States

yes

Fenton

United States

yes

Festus

United States

yes

Florissant

United States

yes

Joplin

United States

yes

KANSAS CITY

United States

yes

KANSAS CITY

United States

yes

KANSAS CITY

United States

yes

Kirkwood

United States

yes

LEE'S SUMMIT

United States

yes

O'FALLON

United States

yes

Oakville

United States

yes

POPLAR BLUFF

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 30, 2023

$650M

n/a

2021

Mar 18, 2022

$778M

n/a

2020

Mar 3, 2021

$635M

n/a

2019

Mar 17, 2020

$564M

n/a

2018

Mar 26, 2019

$462M

n/a

2017

Mar 30, 2018

$487M

n/a

2016

Mar 21, 2017

$382M

n/a

2015

Mar 14, 2016

$346M

n/a

2014

Mar 27, 2015

$312M

n/a

2013

Mar 28, 2014

$251M

n/a

2012

Jan 4, 2013

$170M

n/a

2011

Mar 30, 2012

$139M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$650M

$778M

-16.4%

$564M

4.9%