Moloney Securities Asset Management LLC (Manchester)

Name: Moloney Securities Asset Management LLC
Address: 13537 Barrett Parkway Drive, Suite 300, Manchester, MO, 63021
Telephone: (314) 909-0600

Moloney Securities Asset Management LLC is a large advisory firm based in Manchester. It manages $619.92 million of regulatory assets for 1,997 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 40 other states.

Moloney Securities Asset Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Moloney Securities Asset Management: assets under management

The assets under management (AUM) of Moloney Securities Asset Management LLC is $619.92 million. The firm's AUM has grown by 52% since the beginning of its operation, and $7.15 million of the total AUM is attributable to clients outside of the United States.

The firm manages $538.5 million in discretionary accounts and $81.42 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $297.19 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $440.08 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 47% of the total AUM. The second-largest asset type is exchange traded securities, which make up 33% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Moloney Securities Asset Management LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kenneth Keith Kays serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Kenneth Keith Kays is individuals with 1,553 clients and $295.87 million of assets under management. Among the 12 most similar advisory firms, Moloney Securities Asset Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $619.92 million for 1,997 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Moloney Securities Asset Management doesn't advise any private funds.

Careers at Moloney Securities Asset Management LLC

The company employs 94 people that are either part- or full-time employees. 99 percent of the employees work as investment advisers or researchers. 93 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Kenneth Keith Kays has been acting as President since 1 Jan 1998. Jeffrey Patrick Roseman joined the executive team most recently as the Vice President & Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kenneth Keith Kays	Director	1 Jan 1998	Other	265616
Joseph Ronald Medley	Director	1 Dec 2002	Other	2619119
Edward John Moloney	President /chief operating officer/director	1 Dec 2010	Other	3188341
Robert Richard Rust	Vice chairman	1 Dec 2010	Other	407865
Ryan Mathew Wieser	Vice president/director of operations, director	1 Dec 2013	Other	4940639
Donald Ralph Hancock	Chief executive officer & chief financial officer, chairman	1 Jan 2014	Other	828811
Cathleen Anne Wrisberg	Chief compliance officer & counsel	1 Jul 2015	Other	5861789
Inc. Briar Green Holdings	Owner	1 Jul 2015	75% - 100%	47-4576966
Inc. Briar Green Holdings	Managing member	1 Dec 2015	75% - 100%	47-4576966
Jeffrey Patrick Roseman	Vice president & compliance officer	1 May 2016	Other	6296481

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Susan Roth Moloney	Trustee	1 Jul 2014	Other	6471150
U/A/D 9/21/11 E.J. Moloney Marital Trust	Shareholder	1 Jul 2015	50% - 75%	47-6439633

Based in Manchester

The principal office where Moloney Securities Asset Management LLC performs its advisory services is located at 13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021, which is also the mailing address of the firm. An additional office of the firm is in Winterset, IA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (314) 909-0600 or by fax 314-909-0606. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at moseco.com and its LinkedIn profile.