{"url":"https://nivawealth.com/firms/rubinbrown-advisors-116909","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116909","regulatoryAum":3860989071,"crd":"116909","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7263472","suffix":null,"lastName":"Barlow","firstName":"Michael","middleName":"Reed"},{"crd":"7413714","suffix":"II","lastName":"BEAN","firstName":"MICHAEL","middleName":"DAVID"},{"crd":"6684749","suffix":null,"lastName":"CASTELLANO","firstName":"MARY","middleName":"HANNAH"},{"crd":"1356645","suffix":null,"lastName":"COURTNEY","firstName":"DANIEL","middleName":"GLEN"},{"crd":"7709771","suffix":null,"lastName":"Dema","firstName":"Luke","middleName":"Sazan"},{"crd":"2096711","suffix":null,"lastName":"DERCHER","firstName":"DIANE","middleName":"COE"},{"crd":"2954191","suffix":null,"lastName":"ESSTMAN","firstName":"DONALD","middleName":"LEE"},{"crd":"7389082","suffix":null,"lastName":"HAEHNEL","firstName":"TIMOTHY","middleName":"JEAN"},{"crd":"7332686","suffix":null,"lastName":"Hamzagic","firstName":"EDITA","middleName":"[NMN]"},{"crd":"4772153","suffix":null,"lastName":"HARTMAN","firstName":"MATTHEW","middleName":"CHARLES"},{"crd":"4953577","suffix":null,"lastName":"HOELTGE","firstName":"BRIAN","middleName":"THOMAS"},{"crd":"6997275","suffix":null,"lastName":"KESSEL","firstName":"BRYTON","middleName":null},{"crd":"6721693","suffix":null,"lastName":"KING","firstName":"AMY","middleName":"ELIZABETH"},{"crd":"2548059","suffix":null,"lastName":"MARET","firstName":"DEBORAH","middleName":"LYNN"},{"crd":"5282938","suffix":null,"lastName":"MCAULIFFE","firstName":"JOSEPH","middleName":"A"},{"crd":"1754659","suffix":null,"lastName":"MCGREW","firstName":"KEVIN","middleName":"SUMNER"},{"crd":"4560463","suffix":null,"lastName":"QUINN","firstName":"SCOTT","middleName":"MICHAEL"},{"crd":"7051337","suffix":null,"lastName":"REMY","firstName":"BRADLEY","middleName":"JOSEPH 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BLVD., Suite 2100","city":"St. Louis","state":"MO","stateName":"Missouri","country":"United States","postalCode":"63105"},"tradeNames":[],"registration":{"secApproved":"2 May 2003","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3312198.7854039967,"staff":{"employees":30,"advisory":28,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":3860989071,"discretionary":14505715,"discretionaryAccounts":13,"nonDiscretionary":3846483356,"nonDiscretionaryAccounts":4145,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":291,"regulatoryAum":90513213},{"label":"High-net-worth individuals","clients":860,"regulatoryAum":3721827589},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":21706422},{"label":"Charitable organizations","clients":6,"regulatoryAum":18713366},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":8228481}],"feePrograms":[{"role":"main","program":"Standard fee schedule","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":0.95,"from":0},{"to":5000000,"pct":0.5,"from":2000000},{"to":10000000,"pct":0.4,"from":5000000},{"to":null,"pct":0.3,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","versionId":1056406,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-08-28","documentName":"FORM ADV PART 2A","fee_rate_low":0.3,"fee_rate_high":0.95,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Consulting is negotiated and billed at $150 to $750 an hour or as a fixed fee set before the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","versionId":1056406,"submittedOn":"2026-08-28","documentName":"FORM ADV PART 2A"},{"role":"other","program":"Financial Planning","summary":"Standalone financial plans are negotiated and billed at $150 to $750 an hour or as a fixed fee, typically $2,500 to $10,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","versionId":1056406,"submittedOn":"2026-08-28","documentName":"FORM ADV PART 2A"},{"role":"other","program":"Retirement Plan Sponsor Services","summary":"Retirement plan services use a similar tiered schedule on plan assets (0.95% on the first $2,000,000 down to 0.30% above $10,000,000), with a maximum of 1.00% a year.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","versionId":1056406,"submittedOn":"2026-08-28","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T04:24:48.606538+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","versionId":1056406,"submittedOn":"2026-08-28"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":3604202274},{"name":"SEI Investments Distribution Co.","shortName":"SEI Investments Distribution","location":"Oaks, PA","smaAssets":165744520},{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":45953546}],"custodyNote":"RubinBrown Advisors has custody of client assets.","leadership":[{"name":"Deborah Maret","title":"Chief Compliance Officer","crd":"2548059"},{"name":"Thomas Tesar","title":"Managing Director","crd":"4201795"}],"ownership":[{"label":"Rubinbrown LLP","detail":"Owner in the 75% or more ownership band and a control person, since August 1996."}],"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1900 16th Street","city":"Denver"}]},{"state":"Kansas","offices":1,"addresses":[{"street":"4000 W. 114th Street","city":"Leawood"}]},{"state":"Missouri","offices":2,"addresses":[{"street":"7676 Forsyth BLVD., Suite 2100","city":"St. Louis","headquarters":true},{"street":"1200 Main Street","city":"Kansas City"}]}],"brochureServices":["estate planning","insurance","philanthropic planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"314-290-3300","stateRegisteredReps":18,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":6},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":77},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"28 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116909/PDF/116909.pdf","brochureDate":"28 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056406","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 RubinBrown Advisors have?","answer":"RubinBrown Advisors has 1,160 clients and manages $3.86 billion for them, as of August 2026. They include 860 high-net-worth individuals, 291 individual clients and 6 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RubinBrown Advisors offer?","answer":"RubinBrown Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does RubinBrown Advisors charge?","answer":"RubinBrown Advisors charges 0.30%–0.95% a year for its Standard fee schedule. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"FORM ADV PART 2A, filed 28 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does RubinBrown Advisors use?","answer":"RubinBrown Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $3.6B, SEI Investments Distribution Co. (Oaks, PA), with $166M and Pershing Advisor Solutions LLC (Jersey City, NJ), with $46M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does RubinBrown Advisors have?","answer":"RubinBrown Advisors has 18 investment adviser representatives registered with state securities authorities, out of 30 employees, and 28 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 RubinBrown Advisors invest in?","answer":"At the end of its last fiscal year, RubinBrown Advisors’ separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 6% state and local bonds, 4% cash and equivalents, 3% investment grade corporate bonds, 1% U.S. government and agency bonds and 1% other. The 1% other category is described as: Annuities.","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 RubinBrown Advisors?","answer":"RubinBrown Advisors’ direct owner is Rubinbrown LLP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RubinBrown Advisors get paid?","answer":"RubinBrown Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. 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":"Is RubinBrown Advisors registered with the SEC?","answer":"Yes, RubinBrown Advisors has been registered with the SEC as an investment adviser since 2 May 2003. Its CRD number is 116909 and its SEC file number is 801-62021.","source":"Form ADV Part 1A, Item 1, filed 28 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact RubinBrown Advisors?","answer":"RubinBrown Advisors’ main office is at 7676 Forsyth BLVD., Suite 2100, St. Louis, MO 63105. Its phone number is 314-290-3300. Its website is rubinbrownadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 August 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."}