BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
Adviser information for BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $84.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $84.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $84.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128232 |
|---|---|
| SEC ERA File Number | 801-128232 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326646 |
| Legal Entity Identifier | None |
Principal Office
777 E. WISCONSIN AVENUEMILWAUKEE
WI
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M. CENTRAL
Tel: 414-765-3500, Fax: 414-298-7800
Websites
Chief Compliance Officer
ANGELA MARIE PALMER
777 E. WISCONSIN AVENUE
MILWAUKEE
WI
United States
Tel:
800-792-2473
Fax:
414-298-7800
A******@**********M
(Full email address available in API data)
Regulatory Contact
PAUL SCHULTZ
CHIEF LEGAL OFFICER
777 E. WISCONSIN AVENUE
MILWAUKEE
WI
United States
Tel:
414-298-2655
Fax:
414-298-7800
P*******@**********M
(Full email address available in API data)
Industry Affiliates
| BAIRD CAPITAL (SINGAPORE) PTE. LTD. | Other investment adviser, including financial planners |
| BAIRD CAPITAL GLOBAL FUND MANAGEMENT I LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD CAPITAL GLOBAL FUND MANAGEMENT II LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD CAPITAL MANAGEMENT COMPANY, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY V, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD INSURANCE SERVICES, INC. | Insurance company or agency |
| BAIRD INVESTMENT ADVISORS CO. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD PROPERTIES, LLC | Real estate broker or dealer |
| BAIRD TRUST COMPANY | Trust company |
| BAIRD VENTURE PARTNERS GP VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ROBERT W. BAIRD & CO. INCORPORATED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROBERT W. BAIRD & CO. INCORPORATED | Domestic Entity | – | MEMBER | 03/2023 | > 75% |
| SCHULTZ, PAUL, LEE | Individual | – | CHIEF LEGAL OFFICER | 03/2023 | < 5% |
| PAN, GORDON, GEORGE | Individual | – | INVESTMENT COMMITTEE MEMBER | 03/2023 | < 5% |
| PALMER, ANGELA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| NEIS, JOHN, JAMESON | Individual | – | PARTNER AND INVESTMENT COMMITTEE MEMBER | 03/2023 | < 5% |
| BOOTH, STEVEN, GREGORY | Individual | – | INVESTMENT COMMITTEE MEMBER | 03/2023 | < 5% |
| BAIRD FINANCIAL CORPORATION | Domestic Entity | ROBERT W. BAIRD & CO. INCORPORATED | SHAREHOLDER | 12/1982 | > 75% |
| BAIRD FINANCIAL GROUP, INC. | Domestic Entity | BAIRD FINANCIAL CORPORATION | SHAREHOLDER | 12/2020 | > 75% |
| MAXWELL, TERRANCE, PATRICK | Individual | – | INVESTMENT COMMITTEE MEMBER | 03/2023 | < 5% |