RIA Intelligence

GALLATIN ASSET MANAGEMENT, INC.

CRD #136448 SEC #801-64561 ST. LOUIS, MO 314-955-3000
SEC Registered
Total AUM
$25.5B
Discretionary
$16.2B
Employees
51
Clients
--
Accounts
146,374

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
FEBRUARY
Registration Date
--
Latest Filing
May 25, 2007
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
GERSHEN, RICHARD, SCOTTIDIRECTOR AND CHAIRPERSONNA Control
GERSHEN, RICHARD, SCOTTIDIRECTOR AND CHAIRPERSONNA Control
HAVEY, JAMES, MICHAELIDIRECTOR, VICE PRESIDENTNA Control
HAVEY, JAMES, MICHAELIDIRECTOR, VICE PRESIDENTNA Control
KELLER, MARK, ALANIDIRECTOR, PRESIDENT AND CIONA Control
KELLER, MARK, ALANIDIRECTOR, PRESIDENT AND CIONA Control
KELLER, MARK, ALANIDIRECTOR, SENIOR VICE PRESIDENTNA Control
KELLER, MARK, ALANIDIRECTOR, SENIOR VICE PRESIDENTNA Control
KELLY, DOUGLAS, LAIRDIDIRECTOR, EXECUTIVE VICE PRESIDENT, CORPORATE SECRETARY, CFO & TREASURERNA Control
KELLY, DOUGLAS, LAIRDIDIRECTOR, EXECUTIVE VICE PRESIDENT, CORPORATE SECRETARY, CFO & TREASURERNA Control
KOONCE, MICHAEL, HOWARDISECRETARYNA
KOONCE, MICHAEL, HOWARDISECRETARYNA
LAPPLE, BARBARA, ANNICHIEF COMPLIANCE OFFICERNA
LAPPLE, BARBARA, ANNICHIEF COMPLIANCE OFFICERNA
MILLER, PETER, MALLORYIDIRECTOR, CHAIRMAN OF THE BOARDNA Control
MILLER, PETER, MALLORYIDIRECTOR, CHAIRMAN OF THE BOARDNA Control
MOSS, MATTHEW, CHARLESICHIEF FINANCIAL OFFICER, TREASURERNA
MOSS, MATTHEW, CHARLESICHIEF FINANCIAL OFFICER, TREASURERNA
MUNN, WILLIAM, DOUGLASIDIRECTOR, SENIOR VICE PRESIDENTNA Control
MUNN, WILLIAM, DOUGLASIDIRECTOR, SENIOR VICE PRESIDENTNA Control
ODONNELL, THOMAS, NEVINIDIRECTOR, PRESIDENT AND CEONA Control
ODONNELL, THOMAS, NEVINIDIRECTOR, PRESIDENT AND CEONA Control
PORTER, JOSEPH, GRANTISENIOR VICE PRESIDENT, ASST. SECRETARY & ASST. TREASURERNA Control
PORTER, JOSEPH, GRANTISENIOR VICE PRESIDENT, ASST. SECRETARY & ASST. TREASURERNA Control
SCAFATI, MICHAELIDIRECTORNA Control
SCAFATI, MICHAELIDIRECTORNA Control
UNDERWOOD, BRIAN, CLINTONICHIEF COMPLIANCE OFFICERNA Control
UNDERWOOD, BRIAN, CLINTONICHIEF COMPLIANCE OFFICERNA Control
A.G. EDWARDS, INC.DEHOLDING COMPANYE Control
A.G. EDWARDS, INC.DEHOLDING COMPANYE Control
A.G. EDWARDS, INC.DEHOLDING COMPANYE Control
A.G. EDWARDS, INC.DEHOLDING COMPANYE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
WACHOVIA CORPORATIONDEA.G. EDWARDS, INC.E Control
WACHOVIA CORPORATIONDEA.G. EDWARDS, INC.E Control
WACHOVIA CORPORATIONDEA.G. EDWARDS, INC.E Control

Registrations

Federal

IA
May 25, 2007 REGISTERED

Notice Filings (45)

AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS KY MD ME MN MO MS MT NC ND NE NH NJ NM NV NY OH OK PR RI SC SD TN TX UT VA VT WA WI WV

Address

ONE NORTH JEFFERSON
ST. LOUIS, MO 63103
USA
Phone: 314-955-3000