SourcingSourcing

SAXONY CAPITAL MANAGEMENT LLC.

C38
CRD 122692·SEC 801-68385·SAINT LOUIS, MO
AUM
$367.9M
$100M-$500M
Est. Revenue
$3.7M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$8.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SAXONY CAPITAL MANAGEMENT LLC.
CRD
122692
SEC file #
801-68385
EIN
470889870
DBA names
Saxony Capital Management, Llc

Economics

AUM
$367.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$257.2M → $367.9M▲ +43%
Client mix
Individuals Other659
Individuals High Net Worth97
Corporations5
Charitable Organizations1

Operations

Employees (total)
6
Advisory staff (per ADV)
0
Advisory staff (5-yr trend)
—
Primary office
SAINT LOUIS MO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
02/26/2026
ADV-W filed at
—
Website
saxony advisors- facebook

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SAXONY FINANCIAL HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
8
Control Persons
SAXONY FINANCIAL HOLDINGS, LLC
GRIFFARD, LYNN, RAE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:saxony.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
4,025
Form 5500 Compensation Trajectory 3y
20254,025
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
4,025
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001561330
Edgar Registered
Yes
Edgar Filing Count
10
Edgar First Filing Date
2024-01-29
Edgar Last Filing Date
2026-04-24
Edgar 13f Count
10
Edgar 13f Latest AUM Estimate
Filing Date2026-04-24
Accession0001561330-26-000003

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.206
Soi Zip Pct 200k Plus
0.0359
Soi Zip Returns 200k Plus
960
Soi Zip Total AGI
1,860,495
Fdic Zip Total Deposits
26,290,491,000
Fdic Zip Branch Count
387
Fdic Zip Top Banks
U.S. Bank National Association
Commerce Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
36
Bc Firm Active IA Count
39
Bc Firm IAR Count
39
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
11152 S TOWNE SQUAREST. LOUIS, MO 63123
Business
11152 S TOWNE SQUAREST. LOUIS, MO 63123
Edgar EIN
470889870
Edgar Recent Filings
13F-HR2026-04-24 · 0001561330-26-000003
13F-HR2026-01-15 · 0001561330-26-000001
Fdic Zip Branches Raw
Commerce Bank, National AssociationAffton, MO
South Side National Bank in St. LouisSt. Louis, MO
Fdic Zip HHI
572.53
Fdic Zip Top Bank Share Pct
11.97
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI81,208
Returns6,490
Stub 2
AGI246,289
Returns6,580
Stub 3
AGI311,404
Returns5,040
Soi Zip Total Business Income
64,495
Soi Zip Total Cap Gains
70,414
Soi Zip Total Dividends
35,785
Soi Zip Total Returns
26,750
Trust Company Affiliate
No

People (42)

42
PALOS, KURT, ROBERT
IAR · Executive Officer · 2.5%
6063745
GRIFFARD, LYNN, RAE
IAR · Executive Officer · 2.5%
3076413
KLUMP, RYAN, CHRISTOPHER
IAR · Executive Officer · 2.5%
4762698
THOMPSON, MARK, STEPHEN
IAR · Executive Officer · 2.5%
2975026
WILLSON, RICHARD, AARON
Executive Officer · 2.5%
4765132
CHARLES ANDREW DAIRAGHI
Executive Officer · 2.5%
4449265
Dye, Christopher, Zane
Executive Officer · 2.5%
7641098
DAVID ROBERT PASKE
IAR
1972609
CRAIG ARI LIEBER
IAR
2803003
PHILIP LUDWIG HAMMER
IAR
3151284
Ismail Baram
IAR
7905478
PATRICK WILLIAM HOGAN
IAR
248081
DANIEL STUART SCHMITZ
IAR
6163617
JAMIE LOUISE KAESTNER
IAR
6120616
JASON GLEN PUESCHEL
IAR
2257351
ROBERT CHARLES LARIOS
IAR
2470331
RICHARD COBB RANSON
IAR
2624005
JARAD BYRAM MITCHELL
IAR
4811305
MICHAEL EDWARD SABELLI
IAR
2182557
VIRGINIA FRANCES THOMPSON
IAR
1834046
STEVEN DOUGLAS KAESTNER
IAR
2844064
GENE ALVIN BREHM
IAR
2815437
WILLIAM ROBERT CUNNINGHAM
IAR
850999
Brent Wayne DeRossett
IAR
6602749
Terrance Michael Webster
IAR
6826889
Ashley Elaine Bollman
IAR
7811307
Thomas Joseph Scorcia
IAR
7132143
Stephen Patrick Schmitt
IAR
5928024
SCOTT S GREGORY
IAR
4426847
Marguerite Ann Sansone
IAR
7178739
Tim A Mackowiak
IAR
4525924
MARK DAVID AIGNER
IAR
2645924
Victor Giustina
IAR
1969074
Matthew Alan Lesnikowski
IAR
1530281
DANIEL EDWARD TABASH
IAR
2267259
Eric Hoffman
IAR
7419238
Brian Charles Baker
IAR
3263146
KENNETH T. MILLAR
IAR
4148799
JENNIFER MARIE BRUER
IAR
4567390
Korey MIchael Knepper
IAR
6945209
RYAN MICHAEL HOUSTEAU
IAR
7803327
Nicholas Michael Romay
IAR
7538680