Umb Financial Services, Inc.
SEC-registered
Broker-Dealer (Dually Registered) · Boutique (under $100M)
CRD 17073
· SEC file 801-62967
· Kansas City, MO
· www.umb.com
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ADV data as of Apr 14, 2026
- Regulatory AUM
- $5.0M
- Discretionary
- $0
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 1
- Employees
- 55
AUM over time
$731K
$41.0M
Nov 2015
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 14, 2026
Asset allocation (SMA assets by investment type)
as of Apr 14, 2026
Registered investment companies (funds/ETFs)
$2.5M
49%
Exchange-traded equities
$2.3M
46%
Cash & equivalents
$252K
5%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $5.0M | 100.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Banterra Corp. Profit Sharing Plan Banterra Corp. | 2024 |
People (52)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Pauls, John Charles | Assistant Secretary | Aug 2004 (22y) | Less than 5% | |
| Maxwell, Jeffrey Thomas | Cao, Svp | Aug 2005 (21y) | Less than 5% | |
| Angela Gaye Gates | Finop / President / Director / Pfo / Poo / Treasurer | Oct 2007 (19y) | Less than 5% | |
| Phillip James Mason | Director | Jan 2014 (13y) | Less than 5% | |
| Stephens, James Matthew | Secretary | May 2015 (11y) | Less than 5% | |
| Jimmy Ray Turner | Director | Jan 2020 (7y) | Less than 5% | |
| Long, Christopher Sheldon | Chief Compliance Officer | Jan 2020 (7y) | Less than 5% | |
| Benjamin Joseph Skilling | Director | CFP | Jan 2023 (4y) | Less than 5% |
| Massey, Thomas Harold | Director | Jan 2023 (4y) | Less than 5% | |
| Janice Lynn Trimmell | Registered representative | Sep 2004 (22y) | ||
| Adam Keith Perkins | Registered representative | Apr 2006 (20y) | ||
| Gregory Arvis Aman | Registered representative | Feb 2010 (16y) | ||
| Michelle Renee Kraintz | Registered representative | May 2010 (16y) | ||
| Chad William Clement | Registered representative | Jul 2012 (14y) | ||
| Michael Philip Sabetta | Registered representative | Apr 2013 (13y) | ||
| Darci Nicole Emerson | Registered representative | Aug 2014 (12y) | ||
| Phillip Michael Klevorn | Registered representative | Feb 2015 (11y) | ||
| Brad Allen Swanson | Registered representative | Mar 2015 (11y) | ||
| Francis M Scheuerman | Registered representative | May 2015 (11y) | ||
| James Michael Carlile | Registered representative | Oct 2015 (11y) | ||
| Katherine Ann Shands | Registered representative | Dec 2015 (11y) | ||
| Kevin Christopher Hosey | Registered representative | Apr 2016 (10y) | ||
| Steven Joseph Winget | Registered representative | Aug 2016 (10y) | ||
| Colin James Horning | Registered representative | Oct 2016 (10y) | ||
| Chad William Treacy | Registered representative | Feb 2017 (9y) | ||
| Deborah Lucille Alexander | Registered representative | Apr 2017 (9y) | ||
| Karen Anne Numi | Registered representative | CFP | Sep 2017 (9y) | |
| Kenneth David Dow | Registered representative | Oct 2017 (9y) | ||
| Craig Herman Sutherland | Registered representative | Feb 2018 (8y) | ||
| Chloe Elizabeth Alexander | Registered representative | Oct 2018 (8y) | ||
| Narine Karenovna Avanesova | Registered representative | Jan 2019 (8y) | ||
| Matthew Roger Lunde | Registered representative | Mar 2019 (7y) | ||
| Nicholas Eric Luchtefeld | Registered representative | Aug 2021 (5y) | ||
| Michael D Cleveland | Registered representative | Nov 2021 (5y) | ||
| Shane W Toner | Registered representative | Dec 2021 (5y) | ||
| Tyler Mcallister | Registered representative | May 2022 (4y) | ||
| Brenna Renae Staples | Registered representative | Aug 2022 (4y) | ||
| Mckenna Lee Botts | Registered representative | Mar 2024 (2y) | ||
| Michael Toofik Simon | Registered representative | Apr 2024 (2y) | ||
| Cathy Renee Keen | Registered representative | May 2024 (2y) | ||
| Matthew Kirk Reeves | Registered representative | CFP | Jan 2025 (2y) | |
| Samantha M Licko | Registered representative | Jul 2025 (1y) | ||
| Gavin Johnson Doyle | Registered representative | Aug 2025 (1y) | ||
| Dail Brown Blake | Registered representative | Aug 2025 (1y) | ||
| Daniel Joseph Shearman | Registered representative | Nov 2025 (1y) | ||
| Candace L. Montoya | Registered representative | Mar 2026 (0y) | ||
| Arthur Lee Lewis | Registered representative | Mar 2026 (0y) | ||
| Roy C Lines | Registered representative | CFP | Mar 2026 (0y) | |
| Jessica O'shea | Registered representative | Apr 2026 (0y) | ||
| Zachary Adam Sears | Registered representative | May 2026 (0y) | ||
| Andrei Weber | Registered representative | Jun 2026 (0y) | ||
| John Andrew Schick | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Umb Financial Corp | Stockholder | May 2015 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Banterra Corp. Profit Sharing Plan | Banterra Corp. | 464 | $74.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/14/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 14, 2026.
View current Form ADV (SEC/IAPD) ↗