TRINITY WEALTH ADVISORS LLC of ST. LOUIS, MO is an SEC-registered investment adviser (CRD 109452). Regulatory assets under management: $281.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| James Edward Matush | CEO/COO/PARTNER | — |
| James Barry Evens | PARTNER | — |
| Alan Mcmullen Smith | CHIEF COMPLIANCE OFFICER | — |
| Eric Paul Steiner | MANAGING DIRECTOR | — |
| STEINER JAMES PAUL | MANAGING DIRECTOR; MANAGING PARTNER | — |
| HUMES BRIAN KEITH | OWNER | — |
| BARRINGTON JAY P | OWNER | — |
| SCHMITTGENS GREGORY WILIAM | OWNER | — |
| MATUSH JAMES EDWARD | CEO/COO/PARTNER; CEO/PARTNER; OWNER AND PRESIDENT (+1 more) | — |
| GRADY THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER; PARTNER/CCO; PARTNER/CHIEF COMPLIANCE OFFICER | — |
| SMITH ALAN MCMULLEN | CHIEF COMPLIANCE OFFICER; PARTNER | — |
| EVENS JAMES BARRY | PARTNER | — |
| GRANT DOUGLAS ROBERT | PARTNER/PASSIVE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2001-04-20 | regulatory | WE WERE NOTIFIED BY STATE OF FAILURE TO SUBMIT A STATE NOTICE FILING EVEN THOUGH THE FIRM IS UNDER SEC REGULATION. UPON OUR REVIEW OF THE INITIAL SETUP OF OUR INVESTMENT ADVISORY FIRM (OCT 1997) BY OUR ATTORNEYS, WE HAD FOUND THE ATTORNEYS FAILED TO COMPLETE A NOTICE FILING WITH THE STATE. | Final | $4K |