UMB FINANCIAL SERVICES, INC.
Adviser information for UMB FINANCIAL SERVICES, INC. last updated from Form ADV on March 7th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 58 |
|---|---|
| Investment Advisory/Research | 58 |
| Registered Broker-Dealer Representatives | 48 |
| Registered State Investment Advisers | 58 |
| Licensed Agents of an Insurance Company | 34 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1 | $730,778 |
| Total | 1 | $730,778 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $730,778 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | 1301 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerRegistered municipal advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 547.1M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISOR SELECT | UMB FINANCIAL SERVICES INC |
Principal Office
928 GRAND BLVDKANSAS CITY
MO
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 816-842-2222, Fax: 816-860-3689
Chief Compliance Officer
CHRIS LONG
4921 KIWANA DRIVE
SOUTH OGDEN
UT
United States
Tel:
816-860-8763
C***************@******M
(Full email address available in API data)
Regulatory Contact
JEFFREY MAXWELL
SVP - CAO
928 GRAND
KANSAS CITY
MO
United States
Tel:
816-860-8790
Fax:
816-860-3180
J**************@******M
(Full email address available in API data)
Industry Affiliates
| UMB BANK | Banking or thrift institution |
| UMB FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisor |
| UMB INSURANCE INC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MAXWELL, JEFFREY THOMAS | Individual | – | CAO, SVP | 08/2005 | < 5% |
| UMB FINANCIAL CORP | Domestic Entity | – | STOCKHOLDER | 05/2015 | > 75% |
| PAULS, JOHN CHARLES | Individual | – | ASSISTANT SECRETARY | 08/2004 | < 5% |
| GATES, ANGELA GAYE | Individual | – | FINOP / PRESIDENT / DIRECTOR / PFO / POO / TREASURER | 10/2009 | < 5% |
| MASON, PHILLIP JAMES | Individual | – | DIRECTOR | 01/2017 | < 5% |
| STEPHENS, JAMES MATTHEW | Individual | – | SECRETARY | 05/2015 | < 5% |
| LONG, CHRISTOPHER SHELDON | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |
| TURNER, JIMMY RAY JR | Individual | – | DIRECTOR | 01/2020 | < 5% |
| MASSEY, THOMAS HAROLD | Individual | – | DIRECTOR | 01/2023 | < 5% |
| SKILLING, BENJAMIN JOSEPH | Individual | – | DIRECTOR | 01/2023 | < 5% |