DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Saxony Capital Management, LLC
Legal name Saxony Capital Management LLC.
Latest filing Aug 3, 2026
First filing on the tape Jan 3, 2012 · 129 filings
SEC status approved since Oct 15, 2007
RAUM
$368M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$366M individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$8.8M
derived; firm RAUM over IAPD count
Employees
6
0 advisory (5.B.1)
Offices
20
beyond the principal office
Private funds
0
reported on Schedule D
History
129 filings and snapshots on the tape
RAUM$368M as of Aug 3, 2026
Mar 6, 2012$63.8M then
HNW client RAUM$198M as of Aug 3, 2026
Mar 19, 2018$64.0M then
State-registered IARs (5.B.3)3 as of Aug 3, 2026
Mar 18, 20132 then
Employees (5.A)6 as of Aug 3, 2026
Mar 18, 20132 then
Private funds1 as of Mar 31, 2022
Mar 18, 20131 then
RAUM +23% over the last fiscal year+31% a year over threeIARs 3 to 3offices 18 to 20
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $8.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $247,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived21 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M54%
- Individuals$168M46%
- Corporations and businesses$2.1M0.6%
- Charitable organizations$110,4990.0%
- Individual clients
- 659reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,488reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
42 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Stephen Thompson | St. Louis, Mo | Apr 16, 2004 | 26 y | 3 |
| Ryan Christopher Klump | Saint Louis, Mo | Jun 8, 2004 | 22 y | 1 |
| Lynn Rae Griffard | Saint Louis, Mo | Sep 22, 2008 | 23 y | 0 |
| Robert Charles Larios | Saint Louis, Mo | Oct 14, 2011 | 32 y | 3 |
| Philip Ludwig Hammer | Saint Louis, Mo | Mar 13, 2012 | 18 y | 0 |
| Kurt Robert Palos | Saint Louis, Mo | Jan 2, 2014 | 14 y | 0 |
| Daniel Edward Tabash | Saint Louis, Mo | Jan 22, 2015 | 26 y | 2 |
| Virginia Frances Thompson | Ft. Lauderdale, Fl | Apr 11, 2017 | 21 y | 2 |
| William Robert Cunningham | Lincolnshire, Il | Aug 17, 2017 | 40 y | 1 |
| David Robert Paske | Elmhurst, Il | Apr 3, 2018 | 35 y | 1 |
| Jarad Byram Mitchell | Saint Louis, Mo | Jan 23, 2019 | 21 y | 3 |
| Craig Ari Lieber | Saint Louis, Mo | Sep 13, 2021 | 29 y | 0 |
| Stephen Patrick Schmitt | Marlton, Nj | Oct 25, 2022 | 15 y | 5 |
| Thomas Joseph Scorcia | Saint Louis, Mo | Feb 17, 2023 | 11 y | 2 |
| Brent Wayne Derossett | Ozark, Mo | Jan 2, 2024 | 12 y | 2 |
| Marguerite Ann Sansone | Barnhart, Mo | Feb 2, 2024 | 11 y | 1 |
| Victor Giustina | Saint Louis, Mo | May 20, 2024 | 32 y | 1 |
| Eric Hoffman | Marlton, Nj | Jan 2, 2025 | 15 y | 3 |
| Korey Michael Knepper | Webster Groves, Mo | Jan 2, 2025 | 15 y | 5 |
| Jason Glen Pueschel | Saint Louis, Mo | Jan 2, 2025 | 33 y | 3 |
| Richard Cobb Ranson | Saint Louis, Mo | Jan 2, 2025 | 31 y | 1 |
| Jamie Louise Kaestner | Minneapolis, Mn | Jan 2, 2025 | 14 y | 7 |
| Daniel Stuart Schmitz | Saint Louis, Mo | Jan 2, 2025 | 13 y | 4 |
| Patrick William Hogan | Hamilton, Oh | Jan 2, 2025 | 41 y | 2 |
| Gene Alvin Brehm | San Antonio, Tx | Jan 2, 2025 | 45 y | 3 |
| Steven Douglas KaestnerCertified Financial Planner | Saint Louis, Mo | Jan 2, 2025 | 36 y | 8 |
| Michael Edward SabelliCertified Financial Planner | Saint Louis, Mo | Jan 3, 2025 | 30 y | 3 |
| Matthew Alan Lesnikowski | Saint Louis, Mo | Jan 3, 2025 | 37 y | 4 |
| Ryan Michael Housteau | Boardman, Oh | Jan 6, 2025 | 12 y | 1 |
| Mark David Aigner | Saint Louis, Mo | Jan 6, 2025 | 31 y | 3 |
| Ismail Baram | Marlton, Nj | Feb 20, 2025 | 13 y | 0 |
| Tim A Mackowiak | Webster Groves, Mo | Mar 5, 2025 | 24 y | 3 |
| Jennifer Marie Bruer | Saint Louis, Mo | Mar 20, 2025 | 25 y | 3 |
| Terrance Michael Webster | St. Louis, Mo | Jul 8, 2025 | 13 y | 1 |
| Kenneth T. Millar | Taylors, Sc | Oct 16, 2025 | 26 y | 2 |
| Nicholas Michael Romay | Saint Louis, Mo | Jan 8, 2026 | 11 y | 0 |
| Brian Charles Baker | Saint Louis, Mo | Jan 16, 2026 | 26 y | 2 |
| William Eldon Tufts | Portland, Or | Jun 16, 2026 | 36 y | 2 |
| Raymond Felix Housteau | Youngstown, Oh | Jun 22, 2026 | 12 y | 0 |
| Aaron James Armstrong | Mequon, Wi | Jul 1, 2026 | 16 y | 1 |
Advisor movement
4 left, 6 joined in 12 months
net +2 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 9.5% of current headcount10 left over 36 months
Left, latest
- Sean Patrick Diorio to Riverside Financial Advisors LLCJan 28, 2026 · RIA to a state-registered adviser
- Timothy Brian Mcmullen to Riverside Financial Advisors LLCJan 27, 2026 · RIA to a state-registered adviser
- Gary L Shumate to Osaic Wealth, Inc.Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- Nicholas Troiani to Purposepath Capital, LLCOct 7, 2025 · RIA to a state-registered adviser
- Jonathan Ewanio to Mbm Wealth Consultants, LLCMay 29, 2025 · RIA to RIA
- Nita Pankaj Singhal to New Day Wealth Management, LLCNov 27, 2024 · Other
- Richard Edward Ackerman to Cambridge Investment Research Advisors, Inc.Aug 20, 2024 · RIA to affiliated broker-dealer or bank
- Vincent John Klein to Cambridge Investment Research Advisors, Inc.Aug 20, 2024 · RIA to affiliated broker-dealer or bank
- Thomas Edward O'Hehir-Johnson to Osaic Wealth, Inc.Mar 25, 2024 · RIA to affiliated broker-dealer or bank
- Curtis Andrew Whitaker to Packerland Brokerage Services, Inc.Dec 18, 2023 · RIA to RIA
- James Edward Phelps to LPL Financial LLCMay 31, 2023 · RIA to affiliated broker-dealer or bank
- Adam J Stone to LPL Financial LLCDec 21, 2022 · RIA to RIA
- Reagan Andrew Shopp to Sterling Capital Management LLCNov 3, 2022 · Other
- John Peter Dodenhoff to O'Donnell Wealth ManagementNov 3, 2022 · RIA to a newly registered adviser
- Stephen Patrick O'Donnell to O'Donnell Wealth ManagementNov 3, 2022 · RIA to a newly registered adviser
Joined, latest
- Jonathan Ewanio from Mbm Wealth Consultants, LLCAug 4, 2026 · RIA to RIA
- Aaron James Armstrong from Lasalle St. Investment Advisors, L.L.C.Jul 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kimberly Lynn Steinbrenner from Lasalle St. Investment Advisors, L.L.C.Jul 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- William Eldon Tufts from Centaurus Financial, Inc.Jun 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Charles Baker from Mcnally Financial Services CorporationJan 16, 2026 · Other
- Kenneth T. Millar from Cabin Advisors, LLCOct 16, 2025 · RIA to RIA
- Terrance Michael Webster from Edward JonesJul 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jennifer Marie Bruer from Cetera Investment Advisers LLCMar 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Tim A Mackowiak from Wells Fargo AdvisorsMar 5, 2025 · Wirehouse to independent RIA
- Ryan Michael Housteau from Esi Financial AdvisorsJan 6, 2025 · RIA to RIA
- Korey Michael Knepper from Cetera Investment Advisers LLCJan 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- Sean Patrick Diorio from Florida Financial Advisors, LLCJan 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- Eric Hoffman from Fisher InvestmentsAug 16, 2024 · RIA to RIA
- Nita Pankaj Singhal from MML Investors Services, LLCJul 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Victor Giustina from Bison Wealth, LLCMay 20, 2024 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cambridge Investment Research Advisors, Inc.Aug 20, 2024 · Saint Louis, Mo
- 2 left for Cetera Investment Advisers LLCAug 10, 2022 · Saint Louis, Mo
- 2 left for Lasalle St. Investment Advisors, L.L.C.Feb 27, 2019 · Saint Louis, Mo
- 2 joined from Lasalle St. Investment Advisors, L.L.C.Jul 7, 2026 · Wauwatosa, Wi
- 2 joined from Plan Group Financial, Inc.Nov 9, 2023 · Oklahoma City, Ok
- 3 joined from Scottrade Investment ManagementMar 9, 2018 · Saint Louis, Mo
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Arsenal Capital Management LLCno longer reported | Private Equity Fund | $57.5M | 39 | Mar 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Lesley Brian Clark · Senior Vice Presidentcontrolsince 03/2008 · owns less than 5%
- Edward Richard Griffard · Presidentcontrolsince 09/2002 · owns less than 5%
- Christopher Ryan Klump · Chief Operating Officercontrolsince 04/2023 · owns less than 5%
- Robert Kurt Palos · Vice Presidentcontrolsince 12/2020 · owns less than 5%
- Stephen Mark Thompson · Chief Compliance Officercontrolsince 11/2006 · owns less than 5%
- Lesley Brian Clark · Membercontrolsince 04/2006 · owns 25% to 50% of Saxony Financial Holdings, LLC
- Edward Richard Griffard · Membercontrolsince 09/2002 · owns 25% to 50% of Saxony Financial Holdings, LLC
- Andrew Charles Dairaghi · Membersince 11/2016 · owns 25% to 50% of Saxony Financial Holdings, LLC
Entity owners
- Saxony Financial Holdings, LLC · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Patrick Capital Markets, LLCbroker-dealery
- Saxony Insurance Agency, LLCreal estaten
- Saxony Securities, Inc.broker-dealery
Advisers that list Saxony Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saint Louis, Mo · principal | 42 | 8 | 2 | ||
| Marlton, Nj | 4 | 0 | 0 | ||
| St Louis, Mo | 3 | 1 | 0 | ||
| Boardman, Oh | 2 | 0 | 0 | ||
| Hamilton, Oh | 2 | 0 | 0 | ||
| Webster Groves, Mo | 2 | 0 | 0 | ||
| Sugar Land, Tx | 0 | 0 | 0 | ||
| Conshohocken, Pa | 0 | 0 | 1 | ||
| Bloomington, Mn | 0 | 0 | 0 | ||
| Dowingtown, Pa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cherry Hill, NJ7 employees
- Marlton, NJ2 employees
- Hamilton, OH2 employees
- Weston, FL1 employees
- Boardman, OH1 employees
- , 1 employees
- Lincolnshire, IL1 employees
- San Antonio, TX1 employees
- Edmond, OK1 employees
- Newport Beach, CA1 employees
- Minneapolis, MN1 employees
- Ozark, MO1 employees
- Branson, MO1 employees
- West Hempstead, NY1 employees
- , 1 employees
- , 1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low employee count relative to advisorsStatic outlier · filing Aug 3, 2026employees per registered advisor of 0.1 against a peer median of 1.2 (1313 comparable advisers, 0.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (1,313) · 0.0% percentile
- HNW share shiftChange between filings · filing Feb 26, 2026HNW share of RAUM moved from 30.0% to 54.0% between the annual amendments of 2025-04-29 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 18 to 20Jun 26, 2026 to Jul 1, 2026
- Other offices · 19 to 18Feb 26, 2026 to May 28, 2026
- Other offices · 18 to 19Jan 29, 2026 to Feb 26, 2026
- Accounts · 1,307 to 1,488Dec 26, 2025 to Jan 29, 2026
- HNW clients · 42 to 97Dec 26, 2025 to Jan 29, 2026
- Individual clients · 644 to 659Dec 26, 2025 to Jan 29, 2026
- Other offices · 20 to 18Dec 26, 2025 to Jan 29, 2026
- Discretionary RAUM · $286M to $351MDec 26, 2025 to Jan 29, 2026
- HNW RAUM · $88.1M to $198MDec 26, 2025 to Jan 29, 2026
- Individual RAUM · $209M to $168MDec 26, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $12.4M to $16.4MDec 26, 2025 to Jan 29, 2026
- RAUM · $298M to $368MDec 26, 2025 to Jan 29, 2026
- Other offices · 18 to 20Aug 15, 2025 to Nov 11, 2025
- Financial planning clients · 1-10 to 1-10Jun 19, 2025 to Jul 16, 2025
- Other offices · 19 to 18Jun 19, 2025 to Jul 16, 2025
- Other offices · 18 to 19Apr 29, 2025 to Jun 19, 2025
- Accounts · 1,192 to 1,307Feb 13, 2025 to Apr 29, 2025
- Corporate clients · 6 to 5Feb 13, 2025 to Apr 29, 2025
- HNW clients · 87 to 42Feb 13, 2025 to Apr 29, 2025
- Individual clients · 572 to 644Feb 13, 2025 to Apr 29, 2025
- Discretionary RAUM · $218M to $286MFeb 13, 2025 to Apr 29, 2025
- HNW RAUM · $116M to $88.1MFeb 13, 2025 to Apr 29, 2025
- Individual RAUM · $123M to $209MFeb 13, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $21.1M to $12.4MFeb 13, 2025 to Apr 29, 2025
- RAUM · $239M to $298MFeb 13, 2025 to Apr 29, 2025
- Other offices · 20 to 18Aug 29, 2024 to Dec 13, 2024
- Other offices · 21 to 20Jul 18, 2024 to Aug 13, 2024
- Other offices · 19 to 21May 17, 2024 to Jul 18, 2024
- Other offices · 21 to 19Mar 19, 2024 to May 9, 2024
- Accounts · 540 to 1,192Jan 8, 2024 to Mar 18, 2024
- HNW clients · 35 to 87Jan 8, 2024 to Mar 18, 2024
- Individual clients · 268 to 572Jan 8, 2024 to Mar 18, 2024
- Pension plan clients · 1.0 to unsetJan 8, 2024 to Mar 18, 2024
- Employees · 7 to 6Jan 8, 2024 to Mar 18, 2024
- State-registered IARs · 4 to 3Jan 8, 2024 to Mar 18, 2024
- Discretionary RAUM · $154M to $218MJan 8, 2024 to Mar 18, 2024
- HNW RAUM · $70.8M to $116MJan 8, 2024 to Mar 18, 2024
- Individual RAUM · $89.0M to $123MJan 8, 2024 to Mar 18, 2024
- Non-discretionary RAUM · $9.3M to $21.1MJan 8, 2024 to Mar 18, 2024
- Pension RAUM · 701836.0 to unsetJan 8, 2024 to Mar 18, 2024
Signals
30 dated events
- 2 advisors left Lasalle ST. Investment Advisors, L.L.C. (Wauwatosa, WI) for Saxony Capital Management, LLC on the same dayJul 7, 2026 · Team lift-out · derived
- Sean Patrick Diorio left Saxony Capital Management, Llc for Riverside Financial Advisors Llc (registered 2026-01-29)Jan 28, 2026 · Advisor changed firm · fact
- Timothy Brian Mcmullen left Saxony Capital Management, Llc for Riverside Financial Advisors Llc (registered 2026-01-29)Jan 27, 2026 · Advisor changed firm · fact
- Gary L Shumate left Saxony Capital Management, Llc for Osaic Wealth, Inc. (registered 2026-01-23)Dec 31, 2025 · Advisor changed firm · fact
- Nicholas Troiani left Saxony Capital Management, Llc for Purposepath Capital, Llc (registered 2025-10-13)Oct 7, 2025 · Advisor changed firm · fact
- Jonathan Ewanio left Saxony Capital Management, Llc for Mbm Wealth Consultants, Llc (registered 2025-06-10)May 29, 2025 · Advisor changed firm · fact
- Nita Pankaj Singhal left Saxony Capital Management, Llc for New Day Wealth Management, Llc (registered 2024-12-05)Nov 27, 2024 · Advisor changed firm · fact
- Vincent John Klein left Saxony Capital Management, Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-08-01)Aug 20, 2024 · Advisor changed firm · fact
- Richard Edward Ackerman left Saxony Capital Management, Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-08-02)Aug 20, 2024 · Advisor changed firm · fact
- 2 advisors left Saxony Capital Management, LLC (Saint Louis, MO) for Cambridge Investment Research Advisors, Inc. on the same dayAug 20, 2024 · Team lift-out · derived
- Thomas Edward O'Hehir-Johnson left Saxony Capital Management, Llc for Osaic Wealth, Inc. (registered 2024-03-26)Mar 25, 2024 · Advisor changed firm · fact
- Cooper John Hederman (Compliance Officer) no longer on Schedule A of Saxony Capital Management, Llc (listed 2024-01-08, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- Curtis Andrew Whitaker left Saxony Capital Management, Llc for Packerland Brokerage Services, Inc. (registered 2023-12-15)Dec 18, 2023 · Advisor changed firm · fact
- 2 advisors left Plan Group Financial, Inc. (Edmond, OK) for Saxony Capital Management, LLC on the same dayNov 9, 2023 · Team lift-out · derived
- Saxony Capital Management, Llc reported 17 offices beyond its principal office, down from 22 (2023-06-05 to 2023-07-20)Jul 20, 2023 · Office count change · derived
- James Edward Phelps left Saxony Capital Management, Llc for Lpl Financial Llc (registered 2024-03-21)May 31, 2023 · Advisor changed firm · fact
- Christopher Ryan Klump (Chief Operating Officer) appeared on Schedule A of Saxony Capital Management, LlcApr 10, 2023 · Control person joined · fact
- Saxony Capital Management, Llc reported RAUM $163.1M, down 56% from $369.8M (2023-01-12 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Sudhir Gurudatt Pai no longer registered at Saxony Capital Management, Llc; no later IA registration on IAPDMar 21, 2023 · Advisor departure · fact
- Adam J Stone left Saxony Capital Management, Llc for Lpl Financial Llc (registered 2022-12-14)Dec 21, 2022 · Advisor changed firm · fact
- Reagan Andrew Shopp left Saxony Capital Management, Llc for Sterling Capital Management Llc (registered 2023-01-17)Nov 3, 2022 · Advisor changed firm · fact
- Stephen Patrick O'Donnell left Saxony Capital Management, Llc for O'Donnell Wealth Management (registered 2022-10-17)Nov 3, 2022 · Advisor changed firm · fact
- John Peter Dodenhoff left Saxony Capital Management, Llc for O'Donnell Wealth Management (registered 2022-10-17)Nov 3, 2022 · Advisor changed firm · fact
- Sarah Jane Pinkley left Saxony Capital Management, Llc for Clayton Financial Group, Llc (registered 2022-09-07)Sep 8, 2022 · Advisor changed firm · fact
- Elroy Mark Goodyear left Saxony Capital Management, Llc for Cetera Investment Advisers Llc (registered 2024-03-21)Aug 10, 2022 · Advisor changed firm · fact
- Robert Joseph Mcnicholas left Saxony Capital Management, Llc for Cetera Investment Advisers Llc (registered 2024-03-21)Aug 10, 2022 · Advisor changed firm · fact
- 2 advisors left Saxony Capital Management, LLC (Saint Louis, MO) for Cetera Investment Advisers LLC on the same dayAug 10, 2022 · Team lift-out · derived
- Ashley Reinecke Rieser left Saxony Capital Management, Llc for Moneta Group Investment Advisors, Llc (registered 2022-07-27)Jul 26, 2022 · Advisor changed firm · fact
- Samuel Matthew Politte left Saxony Capital Management, Llc for Sei Investments Management Corp (registered 2022-06-09)Jun 6, 2022 · Advisor changed firm · fact
- Mario Joseph De Rose left Saxony Capital Management, Llc for Northwestern Mutual Investment Services,Llc (registered 2022-07-06)May 19, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Saxony Capital Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 314-528-3050reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- saxonyadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 314-963-9336reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- saxonyadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $8.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026