{"url":"https://nivawealth.com/firms/r-t-jones-capital-equities-management-131804","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/131804","regulatoryAum":351765962,"crd":"131804","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1620308","suffix":null,"lastName":"DAVIDSON","firstName":"JANE","middleName":"ANN"},{"crd":"1518153","suffix":null,"lastName":"JONES","firstName":"ROBERT","middleName":"TERRENCE"},{"crd":"5004128","suffix":"JR.","lastName":"JONES","firstName":"ROBERT","middleName":"TERRENCE"},{"crd":"6261728","suffix":null,"lastName":"SEGGEBRUCH","firstName":"SPENCER","middleName":"COLIN"},{"crd":"4752288","suffix":null,"lastName":"Seiter","firstName":"Jonathan","middleName":"Bradley"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-29","regulatoryAum":526767423,"clients":5720,"employees":8,"offices":1},{"filedOn":"2022-06-29","regulatoryAum":535565627,"clients":5720,"employees":8,"offices":1},{"filedOn":"2023-06-29","regulatoryAum":466106452,"clients":5464,"employees":7,"offices":1},{"filedOn":"2024-06-28","regulatoryAum":483945816,"clients":5135,"employees":7,"offices":1},{"filedOn":"2025-06-29","regulatoryAum":415946157,"clients":4658,"employees":7,"offices":1},{"filedOn":"2026-07-01","regulatoryAum":351765962,"clients":4108,"employees":7,"offices":1}],"secFileNumber":"801-63242","legalName":"R.T. 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Jones Capital Equities Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Robert Jones","title":"Chairman, Chief Executive Officer & Chief Compliance Officer","crd":"1518153"},{"name":"Robert Jones","title":"President","crd":"5004128"},{"name":"Spencer Seggebruch","title":"Chief Investment Officer","crd":"6261728"}],"ownership":[{"label":"R.T. Jones, F.S. Ladners & Associates, Inc.","detail":"Owner in the 75% or more ownership band and a control person, since May 2004."},{"label":"Robert Jones","detail":"Chairman, chief executive officer & chief compliance officer in the 75% or more ownership band and a control person, since June 2004. Also a owner of R.T. Jones, F.S. Ladner & Associates, Inc. in the 75% or more band and a control person, since November 1987."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Missouri","offices":1,"addresses":[{"street":"8151 Clayton Road, Suite 300","city":"St. Louis","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"314-783-5000","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"1 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/131804/PDF/131804.pdf","brochureDate":"29 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050107","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does R.T. Jones Capital Equities Management have?","answer":"R.T. Jones Capital Equities Management has 4,108 clients and manages $352 million for them, as of July 2026. They include 4,063 individual clients, 41 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does R.T. Jones Capital Equities Management offer?","answer":"R.T. Jones Capital Equities Management provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does R.T. Jones Capital Equities Management charge?","answer":"R.T. Jones Capital Equities Management charges 0.75%–1.00% a year for its Separate Account Management Accounts Held Through Axos. Each asset band is charged at its own rate. The fee is billed in advance.","source":"PART 2A OF FORM ADV, filed 29 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does R.T. Jones Capital Equities Management use?","answer":"R.T. Jones Capital Equities Management’s separately managed account assets are held at Oneamerica Securities, Inc. (Indianapolis, IN), with $274M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does R.T. Jones Capital Equities Management have?","answer":"R.T. Jones Capital Equities Management has 7 investment adviser representatives registered with state securities authorities, out of 7 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does R.T. Jones Capital Equities Management invest in?","answer":"At the end of its last fiscal year, R.T. Jones Capital Equities Management’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns R.T. Jones Capital Equities Management?","answer":"R.T. Jones Capital Equities Management’s direct owners are R.T. Jones, F.S. Ladners & Associates, Inc. (75% or more) and Robert Jones (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does R.T. Jones Capital Equities Management get paid?","answer":"R.T. Jones Capital Equities Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact R.T. Jones Capital Equities Management?","answer":"R.T. Jones Capital Equities Management’s main office is at 8151 Clayton Road, Suite 300, St. Louis, MO 63117. Its phone number is 314-783-5000. Its website is artesysonline.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}