DUNCKER STREETT & CO.
DUNCKER, STREETT & CO., LLC Legal Name
Adviser information for DUNCKER STREETT & CO. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 400 | $564.7M |
| Non-Discretionary | 22 | $34.9M |
| Total | 422 | $599.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 91 | $29.2M |
| HNW Individuals | 86 | $393.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $8.9M |
| Charitable organizations | 7 | $167.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-58224 |
|---|---|
| SEC ERA File Number | 801-58224 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110828 |
| Legal Entity Identifier | None |
Principal Office
8000 MARYLANDSUITE 1100
ST. LOUIS
MO
United States
Monday - Friday, 8:30 TO 5:00
Tel: 314-726-2600, Fax: 314-726-2636
Websites
Chief Compliance Officer
JOHN MOULTON JR.
PRESIDENT
8000 MARYLAND
SUITE 1100
ST. LOUIS
MO
United States
Tel:
314-726-2600
Fax:
314-726-2636
J*******@*****************M
(Full email address available in API data)
Regulatory Contact
MARY ROSE LAHRMAN
CLIENT SERVICE ADMINISTRATOR
8000 MARYLAND AVE
SUITE 1100
ST LOUIS
MO
United States
Tel:
314-726-2600
Fax:
314-726-2636
M*******@*****************M
(Full email address available in API data)
Industry Affiliates
| AXIOM ASSET MANAGEMENT | Other investment adviser, including financial planners |
| DELTA ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| GRANT TANI BARASH & ALTMAN, LLC | Other investment adviser, including financial planners |
| HARVEY INVESTMENT COMPANY, LLC | Other investment adviser, including financial planners |
| HIGHTOWER ADVISORS, LLC | Other investment adviser, including financial planners |
| HIGHTOWER SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HIGHTOWER TRUST COMPANY N.A. | Trust company |
| KANAWHA CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| MADISON AVENUE SOLUTIONS, LLC | Other investment adviser, including financial planners |
| THE RIKOON GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOULTON INVESTMENTS, INC. | Domestic Entity | – | MEMBER | 03/2001 | 10-25% |
| MOULTON, JOHN, RANDOLPH | Individual | MOULTON INVESTMENTS, INC. | SHAREHOLDER | 03/2001 | |
| WEALTHTRUST ACQUISITION, LLC | Domestic Entity | – | OWNER | 05/2017 | 50-75% |
| HIGHTOWER HOLDING, LLC | Domestic Entity | WEALTHTRUST ACQUISITION, LLC | OWNER | 05/2017 | > 75% |
| THL HT SPV, LP | Domestic Entity | HIGHTOWER HOLDING, LLC | OWNER | 12/2020 | 25-50% |
| MOULTON, JOHN, RANDOLPH | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| BERG, DANIEL, JEREMY | Individual | – | DIRECTOR OF FINANCE | 03/2019 | < 5% |
| BOYLE, JOHN, THOMAS | Individual | – | PRINCIPAL | 09/2021 | < 5% |