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

MOLONEY SECURITIES CO., INC.

CRD 38535

MANCHESTER, MO

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Search this name across graphsid dfx:ria:bbd5b95b-78b7-0866-59fe-0e533d55947b

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 59
Dated events: 0
On other graphs: 2
Observed: Feb 23, 2012 to Mar 29, 2016
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Moloney Securities Co., Inc.

Venture manager · shared crd

Independent Sponsorsidentity

Moloney Securities Co., Inc.

Intermediary · shared crd

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: $258MItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $229M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 58
Advisory employees: 34
Accounts: 1,124
SEC number: 801-64722
CRD: 38535
Filings on the tape: 14
First filed: Feb 23, 2012
Latest filed: Mar 29, 2016
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
BRIAR GREEN HOLDINGS, INC.	Owner	E	yes	07/2015	Mar 29, 2016	Mar 29, 2016
HANCOCK, DONALD RALPH	CHIEF EXECUTIVE OFFICER,CHIEF FINANCIAL OFFICER, CHAIRMAN	Na	yes	01/2014	Feb 23, 2012	Mar 29, 2016
KAYS, KENNETH KEITH	Director	Na	yes	01/1998	Feb 23, 2012	Mar 29, 2016
MEDLEY, JOSEPH RONALD JR	INVESTOR/DIRECTOR	Na	yes	12/2015	Feb 23, 2012	Mar 29, 2016
MOLONEY, EDWARD JOHN JR	PRESIDENT & CHIEF OPERATING OFFICER/DIRECTOR	Na	yes	12/2010	Feb 23, 2012	Mar 29, 2016
MOLONEY, SUSAN ROTH	Investor	D	yes	07/2014	Mar 31, 2015	Mar 29, 2016
WIESER, RYAN MATHEW	VICE PRESIDENT/DIRECTOR OF OPERATIONS/DIRECTOR	Na	yes	12/2013	Jul 20, 2015	Mar 29, 2016
WRISBERG, CATHLEEN ANNE	CHIEF COMPLIANCE OFFICER & COUNSEL	Na	yes	07/2015	Jul 20, 2015	Mar 29, 2016

Offices

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

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	n/a	no
ESTES PARK	Co	United States	n/a	no
Englewood	FL	United States	n/a	no
Espero	FL	United States	n/a	no
Winterset	Ia	United States	n/a	no
POST FALLS	Id	United States	n/a	no
MOUNT PROSPECT	IL	United States	n/a	no
Northbrook	IL	United States	n/a	no
REDWOOD FALLS	Mn	United States	n/a	no
Stillwater	Mn	United States	n/a	no
Willmar	Mn	United States	n/a	no
Columbia	Mo	United States	n/a	no
Cottleville	Mo	United States	n/a	no
KANSAS CITY	Mo	United States	n/a	no
Kerrville	TX	United States	n/a	no
Richmond	Va	United States	n/a	no
GIG HARBOR	Wa	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2015	Mar 29, 2016	$258M	$229M	58	34	n/a	n/a	n/a
2014	Mar 31, 2015	$237M	$204M	58	34	n/a	n/a	n/a
2013	Mar 31, 2014	$202M	$170M	36	36	n/a	n/a	n/a
2012	Apr 1, 2013	$139M	$105M	32	32	n/a	n/a	n/a
2011	Feb 23, 2012	$101M	$73.8M	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
2015	$258M	$237M	8.8%	$139M	22.8%	58	58	n/a	n/a

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
MOLONEY INVESTMENT ADVISORY LLC	15	Apr 13, 2016	Jul 15, 2016	MANCHESTER, MO	Channel change	Other	40.5%
MOLONEY SECURITIES ASSET MANAGEMENT LLC	19	Apr 13, 2016	Apr 7, 2016	MANCHESTER, MO	Firm absorbed	Other	51.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RBC CAPITAL MARKETS, LLC	3	Feb 19, 2016	Jan 29, 2016	BELLINGHAM, WA	Team lift out	Other	0.2%

Relationships

Affiliated with (2)

← MOLONEY SECURITIES ASSET MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← MOLONEY INVESTMENT ADVISORY LLCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (8)

← MEDLEY, JOSEPH RONALD JROwnerINVESTOR/DIRECTOR, ownership code NA, individual
Feb 23, 2012 to presentfactForm ADV
← KAYS, KENNETH KEITHOwnerDIRECTOR, ownership code NA, individual
Feb 23, 2012 to presentfactForm ADV
← MOLONEY, EDWARD JOHN JROwnerPRESIDENT & CHIEF OPERATING OFFICER/DIRECTOR, ownership code NA, individual
Feb 23, 2012 to presentfactForm ADV
← WIESER, RYAN MATHEWOwnerVICE PRESIDENT/DIRECTOR OF OPERATIONS/DIRECTOR, ownership code NA, individual
Jul 20, 2015 to presentfactForm ADV
← WRISBERG, CATHLEEN ANNEOwnerCHIEF COMPLIANCE OFFICER & COUNSEL, ownership code NA, individual
Jul 20, 2015 to presentfactForm ADV
← MOLONEY, SUSAN ROTHOwnerINVESTOR, ownership code D, individual
Mar 31, 2015 to presentfactForm ADV
← HANCOCK, DONALD RALPHOwnerCHIEF EXECUTIVE OFFICER,CHIEF FINANCIAL OFFICER, CHAIRMAN, ownership code NA, individual
Feb 23, 2012 to presentfactForm ADV
← BRIAR GREEN HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Mar 29, 2016 to presentfactForm ADV

Moved with (3)

→ MOLONEY INVESTMENT ADVISORY LLCRegistered adviser15 advisors, team lift out
Apr 13, 2016 to Jul 15, 2016factForm ADV
→ MOLONEY SECURITIES ASSET MANAGEMENT LLCRegistered adviser20 advisors, firm absorbed
Apr 13, 2016 to May 6, 2016factForm ADV
← RBC CAPITAL MARKETS, LLCRegistered adviser3 advisors, team lift out, same day
Feb 19, 2016 to Jan 29, 2016factForm ADV

Registered with (45)

← REX GLENN RUSSELLAdvisorregistration: previous registration
Jan 4, 2016 to May 10, 2016factForm ADV
← KIRK EDWIN PRESCOTT LITTLEWOODAdvisorregistration: previous registration
Feb 5, 2016 to May 10, 2016factForm ADV
← BRIAN JAMES MCCAULEYAdvisorregistration: previous registration
May 3, 2016 to May 6, 2016factForm ADV
← MEREDITH CABELL JONESAdvisorregistration: previous registration
Mar 31, 2011 to Apr 27, 2016factForm ADV
← JAMES CONSTANTINE KEKERISAdvisorregistration: previous registration
May 24, 2002 to Apr 27, 2016factForm ADV
← JAMES EDWARD NELSONAdvisorregistration: previous registration
Mar 31, 2014 to Apr 27, 2016factForm ADV
← SCOTT BRADLEY WASSERMANAdvisorregistration: previous registration
Jan 22, 2016 to Apr 27, 2016factForm ADV
← GARY PAUL NOTCHAdvisorregistration: previous registration
Dec 20, 2010 to Apr 27, 2016factForm ADV
← ARTHUR LESLIE JACKSONAdvisorregistration: previous registration
Oct 21, 2008 to Apr 27, 2016factForm ADV
← MARK JAMES MURTHAAdvisorregistration: previous registration
Mar 5, 2009 to Apr 27, 2016factForm ADV
← CHARLES WILLIAM HEILAdvisorregistration: previous registration
Dec 13, 2012 to Apr 27, 2016factForm ADV
← JEFFREY ALLEN MORRISAdvisorregistration: previous registration
Mar 16, 2012 to Apr 27, 2016factForm ADV
← JADYN CHANG LOEDDINGAdvisorregistration: previous registration
Mar 28, 2012 to Apr 27, 2016factForm ADV
← ERIC ALEXANDER DUNCANAdvisorregistration: previous registration
Feb 20, 2013 to Apr 27, 2016factForm ADV
← CHRISTINA MARIE SILVIUSAdvisorregistration: previous registration
Aug 17, 2007 to Apr 27, 2016factForm ADV
← GLENN HERBERT CRAYAdvisorregistration: previous registration
Sep 18, 2015 to Apr 27, 2016factForm ADV
← ANDREW LEE FEYERABENDAdvisorregistration: previous registration
Oct 31, 2014 to Apr 27, 2016factForm ADV
← JOSEPH RICHARD MULLERAdvisorregistration: previous registration
May 2, 2013 to Apr 27, 2016factForm ADV
← REBECCA JO WARRENAdvisorregistration: previous registration
Jun 24, 2003 to Apr 13, 2016factForm ADV
← ELTON ALBERT BUECHEAdvisorregistration: previous registration
Jan 29, 2004 to Apr 13, 2016factForm ADV
← PAUL KURT SAXENMEYERAdvisorregistration: previous registration
Mar 1, 2011 to Apr 13, 2016factForm ADV
← RICHARD ROBERT RUSKEYAdvisorregistration: previous registration
Jun 15, 2009 to Apr 13, 2016factForm ADV
← EDWARD JAMES BALMESAdvisorregistration: previous registration
May 20, 2009 to Apr 13, 2016factForm ADV
← WILLIAM MATTHEW LEISMANAdvisorregistration: previous registration
Dec 6, 2013 to Apr 13, 2016factForm ADV
← BECKY JANE GROVESAdvisorregistration: previous registration
Feb 24, 2003 to Apr 13, 2016factForm ADV
← WILLIAM RAFFORD WHITEAdvisorregistration: previous registration
Oct 1, 2014 to Apr 13, 2016factForm ADV
← PETER JON FERRAROAdvisorregistration: previous registration
Jun 17, 2010 to Apr 13, 2016factForm ADV
← WILLIAM SCOTT PADDORAdvisorregistration: previous registration
Sep 1, 2009 to Apr 13, 2016factForm ADV
← JOSEPH RONALD MEDLEYAdvisorregistration: previous registration
May 24, 2002 to Apr 13, 2016factForm ADV
← SCOTT ALLEN HUMEAdvisorregistration: previous registration
Jan 29, 2016 to Apr 13, 2016factForm ADV
and 15 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbd5b95b-78b7-0866-59fe-0e533d55947b
First observed: Feb 23, 2012
Last observed: Mar 29, 2016 127 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.

MOLONEY SECURITIES CO., INC.

CRD 38535

MANCHESTER, 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:bbd5b95b-78b7-0866-59fe-0e533d55947b

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRIAR GREEN HOLDINGS, INC.

Owner

yes

07/2015

Mar 29, 2016

HANCOCK, DONALD RALPH

CHIEF EXECUTIVE OFFICER,CHIEF FINANCIAL OFFICER, CHAIRMAN

yes

01/2014

Feb 23, 2012

Mar 29, 2016

KAYS, KENNETH KEITH

Director

yes

01/1998

Feb 23, 2012

Mar 29, 2016

MEDLEY, JOSEPH RONALD JR

INVESTOR/DIRECTOR

yes

12/2015

Feb 23, 2012

Mar 29, 2016

MOLONEY, EDWARD JOHN JR

PRESIDENT & CHIEF OPERATING OFFICER/DIRECTOR

yes

12/2010

Feb 23, 2012

Mar 29, 2016

MOLONEY, SUSAN ROTH

Investor

yes

07/2014

Mar 31, 2015

Mar 29, 2016

WIESER, RYAN MATHEW

VICE PRESIDENT/DIRECTOR OF OPERATIONS/DIRECTOR

yes

12/2013

Jul 20, 2015

Mar 29, 2016

WRISBERG, CATHLEEN ANNE

CHIEF COMPLIANCE OFFICER & COUNSEL

yes

07/2015

Jul 20, 2015

Mar 29, 2016

City

State

Country

Employees

Also broker-dealer

Denver

United States

n/a

ESTES PARK

United States

n/a

Englewood

United States

n/a

Espero

United States

n/a

Winterset

United States

n/a

POST FALLS

United States

n/a

MOUNT PROSPECT

United States

n/a

Northbrook

United States

n/a

REDWOOD FALLS

United States

n/a

Stillwater

United States

n/a

Willmar

United States

n/a

Columbia

United States

n/a

Cottleville

United States

n/a

KANSAS CITY

United States

n/a

Kerrville

United States

n/a

Richmond

United States

n/a

GIG HARBOR

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$258M

$229M

n/a

2014

Mar 31, 2015

$237M

$204M

n/a

2013

Mar 31, 2014

$202M

$170M

n/a

2012

Apr 1, 2013

$139M

$105M

n/a

2011

Feb 23, 2012

$101M

$73.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$258M

$237M

8.8%

$139M

22.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MOLONEY INVESTMENT ADVISORY LLC

Apr 13, 2016

Jul 15, 2016

MANCHESTER, MO

Channel change

Other

40.5%

MOLONEY SECURITIES ASSET MANAGEMENT LLC

Apr 13, 2016

Apr 7, 2016

MANCHESTER, MO

Firm absorbed

Other

51.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RBC CAPITAL MARKETS, LLC

Feb 19, 2016

Jan 29, 2016

BELLINGHAM, WA

Team lift out

Other

0.2%