DROMS STRAUSS ADVISORS, INC. of ST. LOUIS, MO is an SEC-registered investment adviser (CRD 108620). Regulatory assets under management: $806.3M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Steven Norman Strauss | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Anthony Ziad Gennaoui | VICE PRESIDENT | — |
| Rachel Strauss Rosen | SECRETARY & TREASURER | — |
| Jason Scott Niemann | VICE PRESIDENT | — |
| DROMS WILLIAM GEORGE | CO-CHAIRMAN & CHIEF INVESTMENT OFFICER; PRESIDENT; PRESIDENT & CHIEF INVESTMENT OFFICER (+2 more) | — |
| STRAUSS STEVEN NORMAN | CHAIRMAN, PRESIDENT & CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER; CO-CHAIRMAN, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER (+1 more) | — |
| STRAUSS STEVEN N | VICE PRESIDENT | — |
| GENNAOUI ANTHONY ZIAD | VICE PRESIDENT | — |
| ROSEN RACHEL STRAUSS | SECRETARY & TREASURER | — |
| NIEMANN JASON SCOTT | WEALTH ADVISOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-09 | regulatory | ON SEPTEMBER 9, 2024, THE SEC ANNOUNCED SETTLED CHARGES AGAINST DROMS STRAUSS, WITHOUT ADMITTING OR DENYING THE FINDINGS, THAT IT FAILED TO COMPLY WITH ADVISERS ACT RULE 206(4)-1 (THE "MARKETING RULE") AND SECTION 206(4) BETWEEN NOVEMBER 4, 2022 AND JUNE 3, 2024, THERE WERE INCONSISTENCIES BETWEEN T… | Final | $85K |