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

JAG ADVISORS

J.A. GLYNN & CO., CRD 22011

ST. LOUIS, 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:d72abba2-91dc-160c-3f8e-53d75b6684bc

Data as of Feb 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2012 to Feb 28, 2013
3 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: $949MItem 5.F on the latest filing (2013-02-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $944M
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: 23
Advisory employees: 21
Accounts: 749
SEC number: 801-53844
CRD: 22011
Filings on the tape: 3
First filed: Jan 9, 2012
Latest filed: Feb 28, 2013
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
CONLEY, NORMAN BENEDICT III	PRESIDENT, CHIEF EXECUTIVE OFFICER	B	yes	05/2008	Jan 9, 2012	Feb 28, 2013
DODSON, CHARLES EDWARD	CHIEF COMPLIANCE OFFICER-SHAREHOLDER	Na	yes	06/2008	Jan 9, 2012	Feb 28, 2013
FERRY, DANIEL JOHN JR	Chairman	D	yes	07/2001	Jan 9, 2012	Feb 28, 2013
MERTZ, DEBORAH WYNNE	CHIEF FINANCIAL OFFICER	Na	yes	01/2007	Jan 9, 2012	Feb 28, 2013
VOGT, ALAN DONALD	DIRECTOR FIXED INCOME TRADING-SHAREHOLDER	A	yes	06/2008	Jan 9, 2012	Feb 28, 2013

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
JAG CAPITAL MANAGEMENT LLC	n/a	Mixed wealth	$1.9B	Y	yes	n/a

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
2012	Jul 13, 2012	$870M	$865M	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
2012	$949M	n/a	n/a	n/a	n/a	23	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ JAG CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← MERTZ, DEBORAH WYNNEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 9, 2012 to presentfactForm ADV
← DODSON, CHARLES EDWARDOwnerCHIEF COMPLIANCE OFFICER-SHAREHOLDER, ownership code NA, individual
Jan 9, 2012 to presentfactForm ADV
← FERRY, DANIEL JOHN JROwnerCHAIRMAN, ownership code D, individual
Jan 9, 2012 to presentfactForm ADV
← CONLEY, NORMAN BENEDICT IIIOwnerPRESIDENT, CHIEF EXECUTIVE OFFICER, ownership code B, individual
Jan 9, 2012 to presentfactForm ADV
← VOGT, ALAN DONALDOwnerDIRECTOR FIXED INCOME TRADING-SHAREHOLDER, ownership code A, individual
Jan 9, 2012 to presentfactForm ADV

Registered with (13)

← CHARLES EDWARD DODSONAdvisorregistration: previous registration
Feb 22, 2010 to May 14, 2013factForm ADV
← SANDRA JEAN SHOTWELL-CAINAdvisorregistration: previous registration
Jun 9, 2003 to May 14, 2013factForm ADV
← Todd Thomas GilmoreAdvisorregistration: previous registration
Apr 16, 2007 to May 14, 2013factForm ADV
← DAVID JOSEPH PATRITTIAdvisorregistration: previous registration
Dec 19, 2008 to May 14, 2013factForm ADV
← NORMAN BENEDICT CONLEYAdvisorregistration: previous registration
Dec 1, 1999 to May 14, 2013factForm ADV
← ROBERTA JOLENE MAUEAdvisorregistration: previous registration
Jul 24, 2001 to May 14, 2013factForm ADV
← DAVID WILLIAM KINGSTONAdvisorregistration: previous registration
Feb 26, 2008 to May 14, 2013factForm ADV
← JAMES GREGORY SINDELARAdvisorregistration: previous registration
Jun 14, 2012 to May 14, 2013factForm ADV
← MATTHEW ROBERT WALSHAdvisorregistration: previous registration
Mar 9, 2012 to May 14, 2013factForm ADV
← MICHAEL PHELAN WALSHAdvisorregistration: previous registration
Oct 14, 1997 to May 14, 2013factForm ADV
← Anthony LemonAdvisorregistration: previous registration
Apr 30, 2010 to Feb 10, 2012factForm ADV
← JULIE A PRINKEYAdvisorregistration: previous registration
Jan 31, 2011 to Feb 24, 2011factForm ADV
← PATRICK JOSEPH BRUNOAdvisorregistration: previous registration
Oct 26, 1998 to Jul 13, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d72abba2-91dc-160c-3f8e-53d75b6684bc
First observed: Jan 9, 2012
Last observed: Feb 28, 2013 165 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.

JAG ADVISORS

J.A. GLYNN & CO., CRD 22011

ST. LOUIS, 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:d72abba2-91dc-160c-3f8e-53d75b6684bc

Data as of Feb 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONLEY, NORMAN BENEDICT III

PRESIDENT, CHIEF EXECUTIVE OFFICER

yes

05/2008

Jan 9, 2012

Feb 28, 2013

DODSON, CHARLES EDWARD

CHIEF COMPLIANCE OFFICER-SHAREHOLDER

yes

06/2008

Jan 9, 2012

Feb 28, 2013

FERRY, DANIEL JOHN JR

Chairman

yes

07/2001

Jan 9, 2012

Feb 28, 2013

MERTZ, DEBORAH WYNNE

CHIEF FINANCIAL OFFICER

yes

01/2007

Jan 9, 2012

Feb 28, 2013

VOGT, ALAN DONALD

DIRECTOR FIXED INCOME TRADING-SHAREHOLDER

yes

06/2008

Jan 9, 2012

Feb 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAG CAPITAL MANAGEMENT LLC

n/a

Mixed wealth

$1.9B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Jul 13, 2012

$870M

$865M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$949M

n/a