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.

Former SEC-registered adviser

Moloney Securities Asset Management LLC

Former SEC-registered adviserManchester, MissouriCRD 282448SEC 801-107149website IAPD

Latest filing Mar 27, 2025

First filing on the tape Jan 6, 2016 · 50 filings

SEC status approved since Dec 31, 2015

RAUM

$1.4B

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

96%

$1.3B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

61 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

50 filings and snapshots on the tape

RAUM$1.4B as of Mar 27, 2025

Mar 29, 2016$0 then

HNW client RAUM$732M as of Mar 27, 2025

Mar 5, 2018$186M then

State-registered IARs (5.B.3)77 as of Mar 27, 2025

Mar 29, 20160 then

Employees (5.A)77 as of Mar 27, 2025

Mar 29, 20160 then

Private funds: no history

RAUM +16% over the last fiscal year+5.1% a year over threeIARs 82 to 77offices 45 to 42

Practice profile

derived from the filing of Mar 27, 2025; every figure names its basis

RAUM per advisor: $18.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 30derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $316,493derivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.8derived43 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: -6.1%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program: $1.3BreportedItem 5.I
Custody: $660,995, 2 clientsreportedItem 9.A
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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$732M53%
Individuals$596M43%
Corporations and businesses$28.5M2.1%
Charitable organizations$20.5M1.5%
Pension and profit-sharing plans$11.9M0.9%

Individual clients: 1,957reported
HNW clients: 336reported
Pension plan clients: 28reported
Charitable clients: 7reported
Accounts: 4,390reported
Financial planning clients: 26-50reported
Wrap fee programs: $0 sponsored, $44.0M managedreported
Custody of client assets: $660,995 for 2 clientsreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

23 left, 0 joined in 12 months

net -23 in 12 months0 left in 90 days0 joined in 90 days31 left over 36 months

Left, latest

William Matthew Leisman to Landolt Securities, Inc.
Dec 12, 2025 · Affiliated broker-dealer or bank to independent RIA
Kody Scott Fairfield to Emerson Equity LLC
Dec 12, 2025 · Affiliated broker-dealer or bank to another
Matthew Joseph Franchina to Emerson Equity LLC
Dec 12, 2025 · Affiliated broker-dealer or bank to another
Arthur Leslie Jackson to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Gary Paul Notch to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Eric Alexander Duncan to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
David Francis Lagrange to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Peter Jon Ferraro to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Brian Patrick Corrigan to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Mark James Murtha to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
William Rafford White to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Charles William Heil to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Joseph Ronald Medley to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Joseph Richard Muller to Moloney Investment Advisory LLC
Dec 5, 2025 · Other
Jeffrey Patrick Roseman to Moloney Investment Advisory LLC
Dec 5, 2025 · Other

Joined, latest

William David Fok from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jul 1, 2024 · Wirehouse to affiliated broker-dealer or bank
Ion Valentin Cangea from Woodbury Financial Services, Inc.
Jul 14, 2023 · Affiliated broker-dealer or bank to another
Todd Allen Nye from Aquilant Advisors
Jan 30, 2023 · RIA to affiliated broker-dealer or bank
Olivia M Lupfer from First Heartland Consultants, Inc.
Aug 3, 2020 · Affiliated broker-dealer or bank to another
Kirk James Waara from Morgan Stanley
Nov 20, 2019 · Wirehouse to affiliated broker-dealer or bank
Teddy Joseph Newman from LPL Financial LLC
Nov 4, 2019 · Affiliated broker-dealer or bank to another
Brent Cornelius Verwers from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Darin Lee Hughes from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Eric Richard Steel from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Thomas Adam Rohn from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Thomas Adam Rohn from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Christopher Steven Rohn from Planned Investment Co., Inc.
Dec 13, 2018 · Other
George Donald Steel from Planned Investment Co., Inc.
Dec 13, 2018 · Other
Scott Edward Everhart from RBC Capital Markets, LLC
Feb 28, 2018 · Affiliated broker-dealer or bank to another
Matthew Taylor Seidel from Stifel, Nicolaus & Company, Incorporated
Nov 13, 2017 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Emerson Equity LLC
Dec 12, 2025 · Long Beach, Ca
2 left for Moloney Investment Advisory LLC
Dec 5, 2025 · Denver, Co
15 left for Moloney Investment Advisory LLC
Dec 5, 2025 · Manchester, Mo
3 left for Ausdal Financial Partners, Inc.
Aug 13, 2025 · Osage Beach, Mo
2 left for Apollon Wealth Management, LLC
Dec 14, 2021 · Manchester, Mo

6 joined from Planned Investment Co., Inc.
Dec 17, 2018 · Indianapolis, In · Firm absorbed
3 joined from Smith Moore & Co.
Aug 30, 2017 · Osage Beach, Mo
22 joined from Moloney Investment Advisory LLC
Dec 26, 2016 · Manchester, Mo · Firm absorbed
2 joined from Oneamerica Securities, Inc.
Jul 27, 2016 · Franklin, Tn
19 joined from Moloney Securities Co., Inc.
Apr 13, 2016 · Manchester, Mo · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Ralph Donald Hancock · Chief Executive Officercontrol
since 10/2019 · owns less than 5%
James William Holowatuk · Chief Compliance Officercontrol
since 08/2024 · owns less than 5%
Ronald Joseph Medley · President Of Msamcontrol
since 01/2016 · owns less than 5%
Patrick Jeffrey Roseman · Vice President & General Councilcontrol
since 05/2016 · owns less than 5%
Roth Susan Moloney · Trusteecontrol
since 07/2014 · owns F of E.J. Moloney Marital Trust, U/A/D 9/21/11

Entity owners

Briar Green Holdings, Inc. · Managing Member
direct · owns 75% or more
E.J. Moloney Marital Trust, U/A/D 9/21/11 · Shareholder
indirect · owns 50% to 75% of Briar Green Holdings, Inc.

Related persons

Schedule D 7.A

Moloney Securities Co., Inc.
broker-dealerinvestment advisernRAUM $258M

Advisers that list Moloney Securities Asset Management LLC as a related person

282140 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Left	Teams out
Cleburne, Tx	0
Denver, Co	2	1
Fort Collins, Co	0
Kansas City, Mo	1
Long Beach, Ca	1	1
Northbrook, Il	0
Oakdale, Ca	0
Osage Beach, Mo	0
Redwood Falls, Mn	1
Ronkonoma, Ny	1
Venice, Fl	1
Manchester, Mo · principal	15	1
Yorba Linda, Ca	1

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 3 since 2015, 0 in 24 monthsderived
Advisors acquired: 47derived
Still registered after 90 days: 100% of 47derived
After 180 days: 100% of 47derived
After 365 days: 100% of 47derived
After 730 days: 96% of 47derived
Team lift-outs after: 0derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Manchester, MO18 employees
Indianapolis, IN9 employees
Bellingham, WA3 employees
Osage Beach, MO3 employees
Overland Park, KS2 employees
Kerrville, TX2 employees
Matteson, IL2 employees
Winterset, IA2 employees
Kansas City, MO2 employees
Redwood Falls, MN2 employees
Epping, NH2 employees
Brentwood, TN2 employees
Denver, CO2 employees
Gig Harbor, WA1 employees
Post Falls, ID1 employees
Stillwater, MN1 employees
Kansas City, MO1 employees
Willmar, MN1 employees
, 1 employees
Chesterfield, MO1 employees
Arlington Heights, IL1 employees
Spicer, MN1 employees
Bellingham, WA1 employees
Venice, FL1 employees
Myrtle Beach, SC1 employees

What changed

consecutive filings, newest first

Accounts · 4,236 to 4,390
Aug 16, 2024 to Mar 27, 2025
Advisory employees · 78 to 61
Aug 16, 2024 to Mar 27, 2025
BD registered reps · 82 to 77
Aug 16, 2024 to Mar 27, 2025
Charity clients · 5 to 7
Aug 16, 2024 to Mar 27, 2025
Corporate clients · 32 to 34
Aug 16, 2024 to Mar 27, 2025
HNW clients · 332 to 336
Aug 16, 2024 to Mar 27, 2025
Individual clients · 1,979 to 1,957
Aug 16, 2024 to Mar 27, 2025
Pension plan clients · 23 to 28
Aug 16, 2024 to Mar 27, 2025
Assets in custody · $912,327 to $660,995
Aug 16, 2024 to Mar 27, 2025
Employees · 82 to 77
Aug 16, 2024 to Mar 27, 2025
Financial planning clients · 26-50 to 26-50
Aug 16, 2024 to Mar 27, 2025
State-registered IARs · 82 to 77
Aug 16, 2024 to Mar 27, 2025
Other offices · 45 to 42
Aug 16, 2024 to Mar 27, 2025
Discretionary RAUM · $1.1B to $1.3B
Aug 16, 2024 to Mar 27, 2025
HNW RAUM · $583M to $732M
Aug 16, 2024 to Mar 27, 2025
Individual RAUM · $579M to $596M
Aug 16, 2024 to Mar 27, 2025
Non-discretionary RAUM · $90.8M to $94.2M
Aug 16, 2024 to Mar 27, 2025
Pension RAUM · $8.5M to $11.9M
Aug 16, 2024 to Mar 27, 2025
RAUM · $1.2B to $1.4B
Aug 16, 2024 to Mar 27, 2025
Wrap assets (manager) · $37.5M to $44.0M
Aug 16, 2024 to Mar 27, 2025
Accounts · 4,025 to 4,236
Aug 23, 2023 to Mar 13, 2024
Advisory employees · 79 to 78
Aug 23, 2023 to Mar 13, 2024
BD registered reps · 84 to 82
Aug 23, 2023 to Mar 13, 2024
Charity clients · 4 to 5
Aug 23, 2023 to Mar 13, 2024
Corporate clients · 31 to 32
Aug 23, 2023 to Mar 13, 2024
HNW clients · 281 to 332
Aug 23, 2023 to Mar 13, 2024
Individual clients · 1,972 to 1,979
Aug 23, 2023 to Mar 13, 2024
Pension plan clients · 20 to 23
Aug 23, 2023 to Mar 13, 2024
Assets in custody · $813,146 to $912,327
Aug 23, 2023 to Mar 13, 2024
Employees · 84 to 82
Aug 23, 2023 to Mar 13, 2024
State-registered IARs · 84 to 82
Aug 23, 2023 to Mar 13, 2024
Discretionary RAUM · $927M to $1.1B
Aug 23, 2023 to Mar 13, 2024
HNW RAUM · $451M to $583M
Aug 23, 2023 to Mar 13, 2024
Individual RAUM · $535M to $579M
Aug 23, 2023 to Mar 13, 2024
Non-discretionary RAUM · $90.1M to $90.8M
Aug 23, 2023 to Mar 13, 2024
Pension RAUM · $6.4M to $8.5M
Aug 23, 2023 to Mar 13, 2024
RAUM · $1.0B to $1.2B
Aug 23, 2023 to Mar 13, 2024
Wrap assets (manager) · $39.2M to $37.5M
Aug 23, 2023 to Mar 13, 2024
Accounts · 3,971 to 4,025
Sep 1, 2022 to Mar 21, 2023
Charity clients · 6 to 4
Sep 1, 2022 to Mar 21, 2023

Signals

45 dated events

Moloney Securities Asset Management Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $1.4B)
Feb 2, 2026 · Left the SEC roster · derived
Matthew Joseph Franchina left Moloney Securities Asset Management Llc for Emerson Equity Llc (registered 2025-12-16)
Dec 12, 2025 · Advisor changed firm · fact
William Matthew Leisman left Moloney Securities Asset Management Llc for Landolt Securities, Inc. (registered 2025-11-24)
Dec 12, 2025 · Advisor changed firm · fact
Kody Scott Fairfield left Moloney Securities Asset Management Llc for Emerson Equity Llc (registered 2025-12-16)
Dec 12, 2025 · Advisor changed firm · fact
2 advisors left Moloney Securities Asset Management LLC (Long Beach, CA) for Emerson Equity LLC on the same day
Dec 12, 2025 · Team lift-out · derived
Joseph Richard Muller left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Arthur Leslie Jackson left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Mark James Murtha left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Jeffrey Patrick Roseman left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-05-24)
Dec 5, 2025 · Advisor changed firm · fact
Peter Jon Ferraro left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-04-11)
Dec 5, 2025 · Advisor changed firm · fact
William Rafford White left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-04-04)
Dec 5, 2025 · Advisor changed firm · fact
Brian Patrick Corrigan left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Jadyn Chang Loedding left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Charles William Heil left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Joseph Ronald Medley left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Elton Albert Bueche left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Paul Kurt Saxenmeyer left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-05-05)
Dec 5, 2025 · Advisor changed firm · fact
Meredith Cabell Jones left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Eric Alexander Duncan left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
David Francis Lagrange left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Amy L. Duncan left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
James Constantine Kekeris left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
James Edward Nelson left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
Gary Paul Notch left Moloney Securities Asset Management Llc for Moloney Investment Advisory Llc (registered 2016-03-17)
Dec 5, 2025 · Advisor changed firm · fact
15 advisors left Moloney Securities Asset Management LLC (Manchester, MO) for Moloney Investment Advisory LLC on the same day
Dec 5, 2025 · Team lift-out · derived
2 advisors left Moloney Securities Asset Management LLC (Denver, CO) for Moloney Investment Advisory LLC on the same day
Dec 5, 2025 · Team lift-out · derived
Gene V Panasenko left Moloney Securities Asset Management Llc for Alexander Capital Wealth Management Llc (registered 2026-02-11)
Nov 3, 2025 · Advisor changed firm · fact
Adam James Maher left Moloney Securities Asset Management Llc for Ausdal Financial Partners, Inc. (registered 2025-08-07)
Aug 13, 2025 · Advisor changed firm · fact
Derrick Allen Brauner left Moloney Securities Asset Management Llc for Ausdal Financial Partners, Inc. (registered 2025-08-11)
Aug 13, 2025 · Advisor changed firm · fact
Mark David House left Moloney Securities Asset Management Llc for Ausdal Financial Partners, Inc. (registered 2025-08-07)
Aug 13, 2025 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026