SourcingSourcing

UMB FINANCIAL SERVICES, INC.

C29
CRD 17073·SEC 801-62967·KANSAS CITY, MO
AUM
$5.0M
<$25M
Est. Revenue
$50K
@ 1% on AUM
Est. EBITDA
$15K
@ 30% margin
Est. Deal Value
$121K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UMB FINANCIAL SERVICES, INC.
CRD
17073
SEC file #
801-62967
EIN
000000000
DBA names
—

Economics

AUM
$5.0M
AUM band
<$25M
AUM trajectory
'20'26
$29.2M → $5.0M▼ -83%
Client mix
—

Operations

Employees (total)
55
Advisory staff (per ADV)
54
Advisory staff (5-yr trend)
'20'26
70 advisors → 54 advisors▼ -23%
Primary office
KANSAS CITY MO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
04/14/2026
ADV-W filed at
—
Website
umb.com/wealth-management/investing

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UMB FINANCIAL CORP
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
UMB FINANCIAL CORP
GATES, ANGELA GAYE
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
ok
Rdap Domain
UMB.COM
Rdap Domain Creation Date
1995-08-16T04:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
174,030
Form 5500 Compensation Trajectory 3y
2025174,030
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
174,030
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001306709
Edgar Registered
Yes
Edgar Filing Count
13
Edgar First Filing Date
2004-10-21
Edgar Last Filing Date
2018-04-12
Edgar Form D Count
11
Edgar Form D Offerings
2018-04-122018-04-12 · 0001393725-18-000052
2017-04-112017-04-11 · 0001393725-17-000079

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
11
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
CONTINENTAL ADVISORS LLC227 WEST MONROE STREET, SUITE 5050CHICAGO, IL 60606
Business
CONTINENTAL ADVISORS LLC227 WEST MONROE STREET, SUITE 5050CHICAGO, IL 60606
Edgar EIN
000000000
Edgar Recent Filings
D/A2018-04-12 · 0001393725-18-000052
D/A2017-04-11 · 0001393725-17-000079
Fee Schedule
Bracket Ix49
Bracket I46
Bracket Xi5
Bracket Ii0
Bracket Iii0
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-08-15T04:00:00Z
Rdap Domain Last Changed
2024-06-16T05:54:35Z
Rdap Nameservers
Ns10.umb.comNs30.umb.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (51)

51
MASON, PHILLIP JAMES
IAR · Executive Officer · 2.5%
6246519
LONG, CHRISTOPHER SHELDON
IAR · Executive Officer · 2.5%
6076540
GATES, ANGELA GAYE
IAR · Executive Officer · 2.5%
2626070
MAXWELL, JEFFREY THOMAS
IAR · Executive Officer · 2.5%
2626068
MASSEY, THOMAS HAROLD
IAR · Executive Officer · 2.5%
2062653
PHILLIP MICHAEL KLEVORN
Executive Officer · 2.5%
4852039
Evan Jameson Bucko
IAR
7860406
James Livingston Arthur
IAR
7084017
HOPE ELAINE WOOD
IAR
2602057
Richard Austin Dodd
IAR
7664198
Christopher Andrew Joniak
IAR
7429250
STEVEN LOUIS MONDRY
IAR
5741192
MICHAEL JACOB KOLB
IAR
5186344
STEPHEN A DUMONT
IAR
4567515
JASON VICTOR WEILER
IAR
4493377
MICHELLE TOBIN HOAGLAND
IAR
2910486
CRAIG HERMAN SUTHERLAND
IAR
5982486
Brenna Renae Staples
IAR
7053011
Marcos Christopher Yturri
IAR
5447132
JOHN ALEXANDER MCQUEEN
IAR
2797630
MARK S BAILEY
IAR
2756006
JANICE LYNN TRIMMELL
IAR
1615681
JOHN MUIR KILROY
IAR
4361173
RICK LEE BEAVER
IAR
2625906
LAWRENCE MICHAEL LANGOWSKI
IAR
5391413
Jeremy David King
IAR
7089907
Javier Alexander Garcia Siry
IAR
7171733
JAMES MICHAEL CARLILE
IAR
6553249
ILYA KATSMAN
IAR
5013446
DEBORAH LUCILLE ALEXANDER
IAR
4444456
Chloe Elizabeth Alexander
IAR
6930043
HEATHER LEEANN KNICKERBOCKER
IAR
2765574
TWILA KAY BERRYMAN
IAR
2971523
Shane W Toner
IAR
5823223
Jennifer R Jones
IAR
4359530
STEPHEN MICHAEL KITTS
IAR
1454457
KRISTIN MARIE KOZIOL
IAR
2872549
MELISSA LYNN BUCK
IAR
6403255
RICARDO MENCHACA
IAR
5913098
Arthur Lee Lewis
IAR
8142708
JAY RICHARD BOSTER
IAR
2088177
Ted H Gould
IAR
5430295
PATRICK VINCENT CARVELL
IAR
5727186
MCKENNA LEE BOTTS
IAR
7828930
Michael Jakob Silver
IAR
7795234
WILLIAM THOMAS CONROY
IAR
2589590
STEPHEN GERARD MADDEN
IAR
2910806
WINSTON PAUL CROWLEY
IAR
4921328
JOHN O'CONNELL
IAR
1713362
CHRISTOPHER MICHAEL MCCARTY
IAR
2308155
YVETTE ANN ESPINOZA-ENGH
IAR
2369363