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SAXONY CAPITAL MANAGEMENT LLC., CRD 122692
SAINT LOUIS, 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 |
|---|---|---|---|---|---|---|
| MARK STEPHEN THOMPSON | n/a | St. Louis, MO | SAINT LOUIS, MO | 22 | 26 | 3 | yes |
| RYAN CHRISTOPHER KLUMP | n/a | SAINT LOUIS, MO | 22 | 22 | 1 | yes |
| LYNN RAE GRIFFARD | n/a | SAINT LOUIS, MO | 17 | 23 | n/a | yes |
| ROBERT CHARLES LARIOS | n/a | SAINT LOUIS, MO | Jacksonville, FL | 14 | 32 | 3 | yes |
| PHILIP LUDWIG HAMMER | n/a | SAINT LOUIS, MO | WESTON, FL | 14 | 18 | n/a | yes |
| KURT ROBERT PALOS | n/a | SAINT LOUIS, MO | 12 | 14 | n/a | yes |
| DANIEL EDWARD TABASH | n/a | SAINT LOUIS, MO | 11 | 26 | 2 | yes |
| VIRGINIA FRANCES THOMPSON | n/a | Ft. Lauderdale, FL | SAINT LOUIS, MO | 9 | 21 | 2 | yes |
| WILLIAM ROBERT CUNNINGHAM | n/a | Lincolnshire, IL | SAINT LOUIS, MO | 9 | 40 | 1 | yes |
| DAVID ROBERT PASKE | n/a | Elmhurst, IL | SAINT LOUIS, MO | 8 | 35 | 1 | yes |
| JARAD BYRAM MITCHELL | n/a | SAINT LOUIS, MO | 7 | 21 | 3 | yes |
| CRAIG ARI LIEBER | n/a | SAINT LOUIS, MO | WEST HEMPSTEAD, NY | 5 | 29 | n/a | yes |
| Stephen Patrick Schmitt | n/a | Marlton, NJ | SAINT LOUIS, MO | 3 | 15 | 5 | yes |
| Thomas Joseph Scorcia | n/a | SAINT LOUIS, MO | Marlton, NJ | 3 | 11 | 2 | yes |
| Brent Wayne DeRossett | n/a | Ozark, MO | Branson, MO | SAINT LOUIS, MO | 2 | 12 | 2 | yes |
| Marguerite Ann Sansone | n/a | Barnhart, MO | SAINT LOUIS, MO | 2 | 11 | 1 | yes |
| Victor Giustina | n/a | SAINT LOUIS, MO | Atlanta, GA | 2 | 32 | 1 | yes |
| JASON GLEN PUESCHEL | n/a | SAINT LOUIS, MO | Hebron, CT | 1 | 33 | 3 | yes |
| PATRICK WILLIAM HOGAN | n/a | Hamilton, OH | SAINT LOUIS, MO | 1 | 41 | 2 | yes |
| RICHARD COBB RANSON | n/a | SAINT LOUIS, MO | Charlotte, NC | 1 | 31 | 1 | yes |
| GENE ALVIN BREHM | n/a | San Antonio, TX | SAINT LOUIS, MO | 1 | 45 | 3 | yes |
| STEVEN DOUGLAS KAESTNER | Certified Financial Planner | SAINT LOUIS, MO | Edmond, OK | 1 | 36 | 8 | yes |
| JAMIE LOUISE KAESTNER | n/a | Minneapolis, MN | SAINT LOUIS, MO | 1 | 14 | 7 | yes |
| DANIEL STUART SCHMITZ | n/a | SAINT LOUIS, MO | Hamilton, OH | 1 | 13 | 4 | yes |
| Korey MIchael Knepper | n/a | Webster Groves, MO | SAINT LOUIS, MO | 1 | 15 | 5 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ARSENAL CAPITAL MANAGEMENT LLC | Private Equity Fund | $57.5M | Dec 6, 2022 | 39 | Mar 1, 2013 | dropped | 021-194401 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CLARK, BRIAN, LESLEY | SENIOR VICE PRESIDENT | Na | yes | 03/2008 | Jan 3, 2012 | Dec 13, 2024 |
| CLARK, BRIAN, LESLEY | Member | C | yes | 04/2006 | Jan 3, 2012 | Dec 13, 2024 |
| GRIFFARD, RICHARD, EDWARD | Member | C | yes | 09/2002 | Jan 3, 2012 | Dec 13, 2024 |
| GRIFFARD, RICHARD, EDWARD | President | Na | yes | 09/2002 | Jan 3, 2012 | Dec 13, 2024 |
| KLUMP, RYAN, CHRISTOPHER | CHIEF OPERATING OFFICER | Na | yes | 04/2023 | Apr 10, 2023 | Dec 13, 2024 |
| PALOS, KURT, ROBERT | VICE PRESIDENT | Na | yes | 12/2020 | Dec 10, 2020 | Dec 13, 2024 |
| SAXONY FINANCIAL HOLDINGS, LLC | SOLE MEMBER | E | yes | 09/2002 | Jan 3, 2012 | Dec 13, 2024 |
| THOMPSON, MARK, STEPHEN | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2006 | Jan 3, 2012 | Dec 13, 2024 |
| DAIRAGHI, CHARLES, ANDREW | Member | C | no | 11/2016 | Jan 3, 2012 | Dec 13, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PATRICK CAPITAL MARKETS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| SAXONY INSURANCE AGENCY, LLC | n/a | n/a | n/a | N | yes | n/a |
| SAXONY SECURITIES, INC. | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CHERRY HILL | Nj | United States | 7 | yes |
| Marlton | Nj | United States | 2 | yes |
| Hamilton | Oh | United States | 2 | yes |
| NEWPORT BEACH | CA | United States | 1 | no |
| Weston | FL | United States | 1 | no |
| Lincolnshire | IL | United States | 1 | yes |
| Minneapolis | Mn | United States | 1 | yes |
| Branson | Mo | United States | 1 | yes |
| Ozark | Mo | United States | 1 | yes |
| WEST HEMPSTEAD | NY | United States | 1 | yes |
| Boardman | Oh | United States | 1 | yes |
| Edmond | Ok | United States | 1 | yes |
| SAN ANTONIO | TX | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 26, 2026 | $368M | $351M | 6 | 0 | 19 | n/a | n/a |
| 2024 | Apr 29, 2025 | $298M | $286M | 6 | 0 | 18 | n/a | n/a |
| 2023 | Mar 18, 2024 | $239M | $218M | 6 | 0 | 21 | n/a | n/a |
| 2022 | Mar 22, 2023 | $163M | $154M | 7 | 0 | 22 | n/a | n/a |
| 2021 | Mar 31, 2022 | $370M | $222M | 6 | 0 | 21 | 1 | $57.5M |
| 2020 | Mar 24, 2021 | $314M | $178M | 6 | 0 | 20 | 1 | $57.5M |
| 2019 | Mar 16, 2020 | $294M | $149M | 2 | 0 | 20 | 1 | $69.4M |
| 2018 | Mar 20, 2019 | $257M | $131M | 2 | 0 | 24 | 1 | $68.3M |
| 2017 | Mar 19, 2018 | $242M | $115M | 2 | 0 | 24 | 1 | $72.8M |
| 2016 | Mar 3, 2017 | $264M | $184M | 2 | 0 | n/a | 1 | $54.9M |
| 2015 | Feb 3, 2016 | $185M | $174M | 2 | 0 | n/a | 1 | $54.9M |
| 2014 | Mar 18, 2015 | $230M | $220M | 2 | 0 | n/a | 1 | $36.8M |
| 2013 | Feb 6, 2014 | $212M | $196M | 2 | 0 | n/a | 1 | $13.7M |
| 2012 | Mar 18, 2013 | $186M | $164M | 2 | 0 | n/a | 1 | $0 |
| 2011 | Mar 6, 2012 | $63.8M | $26.6M | n/a | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 6 | 4 | 2 | 9.5% | 3 | 0 | 0 | 21 | 10 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $368M | $298M | 23.5% | $163M | 31.1% | 6 | 6 | 20 | 18 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Aug 20, 2024 | Aug 2, 2024 | SAINT LOUIS, MO | Team lift out | RIA to ibd | 5.7% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Aug 10, 2022 | Mar 21, 2024 | SAINT LOUIS, MO | Team lift out | RIA to ibd | 5.9% |
| LASALLE ST. INVESTMENT ADVISORS, L.L.C. | 2 | Feb 27, 2019 | Feb 8, 2019 | SAINT LOUIS, MO | Team lift out | RIA to ibd | 5.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LASALLE ST. INVESTMENT ADVISORS, L.L.C. | 2 | Jul 7, 2026 | Jul 1, 2026 | WAUWATOSA, WI | Team lift out | Ibd to RIA | 1.2% |
| PLAN GROUP FINANCIAL, INC. | 2 | Nov 9, 2023 | Nov 1, 2023 | OKLAHOMA CITY, OK | Team lift out | RIA to RIA | 18.2% |
| SCOTTRADE INVESTMENT MANAGEMENT | 3 | Mar 9, 2018 | Jan 23, 2019 | SAINT LOUIS, MO | Team lift out | Ibd to RIA | 1.9% |