RUBINBROWN ADVISORS LLC
Adviser information for RUBINBROWN ADVISORS LLC last updated from Form ADV on August 28th, 2023. 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 | MAY |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 19 |
| 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 | 5 | $5.9M |
| Non-Discretionary | 3,575 | $2.3B |
| Total | 3,580 | $2.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 370 | $114.2M |
| HNW Individuals | 716 | $2.2B |
| 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 | 0 | $0 |
| Charitable organizations | 7 | $10.7M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-62021 |
|---|---|
| SEC ERA File Number | 801-62021 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116909 |
| Legal Entity Identifier | None |
Principal Office
7676 FORSYTH BLVD.SUITE 2100
ST. LOUIS
MO
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 314-290-3300, Fax: 314-290-3400
Chief Compliance Officer
DEBORAH L. MARET
LEAD ADVISOR
7676 FORSYTH BLVD.
SUITE 2100
ST. LOUIS
MO
United States
Tel:
314-678-3608
Fax:
314-290-3400
D***********@*************M
(Full email address available in API data)
Regulatory Contact
THOMAS D. TESAR
MANAGING DIRECTOR
7676 FORSYTH BLVD.
SUITE 2100
ST. LOUIS
MO
United States
Tel:
314-290-3297
Fax:
314-290-3400
T********@*************M
(Full email address available in API data)
Industry Affiliates
| RUBINBROWN CORPORATE FINANCE, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RUBINBROWN FINANCIAL SERVICES LLC | Insurance company or agency |
| RUBINBROWN LLP | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUBINBROWN LLP | Domestic Entity | – | OWNER | 08/1996 | > 75% |
| TESAR, THOMAS, DAVID | Individual | – | MANAGING DIRECTOR | 01/2018 | < 5% |
| MARET, DEBORAH, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |