BAHL & GAYNOR INC
Adviser information for BAHL & GAYNOR INC last updated from Form ADV on March 4th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 67 |
|---|---|
| Investment Advisory/Research | 36 |
| Registered Broker-Dealer Representatives | 31 |
| Registered State Investment Advisers | 18 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,890 | $17.7B |
| Non-Discretionary | 42 | $344.2M |
| Total | 2,932 | $18.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 764 | $6.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 11 | $6.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 12 | $135.0M |
| Charitable organizations | 77 | $4.8B |
| State or municipal gov entities | 3 | $55.4M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 1 | $23.3M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 21 | $269.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| RW BAIRD RECOMMENDED MANAGERS | ROBERT W BAIRD |
| RAYMOND JAMES CONSULTING SVCS | RAYMOND JAMES |
| RBC CONSULTING | RBC |
| SCOTIA SUMMIT OPTIMIZED PORTFOLIO | SCOTIA ASSET MANAGEMENT |
| SCOTIA TRADITIONAL SUMMIT US FOCUS DIV | SCOTIA ASSET MANAGEMENT |
| UBS PAINE WEBBER ACCESS PROGRAM | UBS PAINE WEBBER |
| LPL FINANCIAL LLC MANAGER SELECT | LP FINANCIAL LLC |
| WELLS FARGO DMA | WELLS FARGO |
| GOLDMAN SACHS GLOBAL MANAGER STRATEGIES | GOLDMAN SACHS |
| LOCKWOOD MANAGED ACCOUNT UTILITY | LOCKWOOD PERSHING |
| NORTHERN TRUST PFS PROGRAM | NORTHERN TRUST |
| SAWTOOTH | SAWTOOTH |
| JANNEY MONTGOMERY SCOTT ADVISERS MSP | JANNEY MONTGOMERY SCOTT PLACEMARK |
| WEST PACE ADVISORS | WEST PACE ADVISORS |
| WELLS FARGO MASTERS | WELLS FARGO |
| STIFEL OPPORTUNITIES | STIFEL |
| OAM INVESTMENT ADVISORY SERVICE PROGRAM | OPPENHEIMER ASSET MANAGEMENT INC. |
| STIFEL UMA | STIFEL |
| ENVESTNET | ENVESTNET |
| FOLIO DYNAMICS | FOLIO DYNAMICS |
| US TRUST SPS PROGRAM | US TRUST |
| UBS PAINE WEBBER SWP PROGRAM | UBS PAINE WEBBER |
| MERRILL LYNCH ONE | MERRILL LYNCH |
| RBC RESOURCE II | RBC |
| RBC TOTAL PORTFOLIO | RBC |
| RBC TOTAL STRATEGY ACCOUNT | RBC |
| CHARLES SCHWAB | CHARLES SCHWAB |
| SUN TRUST | SUN TRUST |
| MORGAN STANLEY SELECT UMA | MORGAN STANLEY |
| ADHESION | ADHESION |
| FOURTH STREET PARTNERS | FOURTH STREET PARTNERS |
| MERRILL LYNCH IPA | MERRILL LYNCH |
Principal Office
255 EAST FIFTH STREETSUITE 2700
CINCINNATI
OH
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 513-287-6100, Fax: 513-287-6110
Chief Compliance Officer
TITA A. ROGERS
CHIEF COMPLIANCE OFFICER
255 EAST FIFTH STREET
SUITE 2700
CINCINNATI
OH
United States
Tel:
5132876118
Fax:
5132876110
T******@**************M
(Full email address available in API data)
Regulatory Contact
STEPHANIE S. THOMAS
MANAGING DIRECTOR OF INSTITUTIONAL GROUP
255 EAST FIFTH STREET
SUITE 2700
CINCINNATI
OH
United States
Tel:
513-287-6100
Fax:
513-287-6110
S******@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAYNOR, VERE, WARBURTON | Individual | – | DIRECTOR EMERITUS | 07/1990 | 10-25% |
| PETTENGILL, CHARLES, ABBOTT | Individual | – | CHAIRMAN | 05/1997 | 5-10% |
| RODES, SCOTT, DAVIS | Individual | – | PORTFOLIO MANAGER | 06/2001 | 5-10% |
| WOODS, EDWARD, ALLAN | Individual | – | DIRECTOR, SECRETARY | 09/2004 | 5-10% |
| WARDEN, GLENN, D. | Individual | – | CHIEF TECHNOLOGY OFFICER | 04/2005 | < 5% |
| SCHMITZ, JOHN, BRIEN | Individual | – | DIRECTOR, TREASURER | 12/2006 | 5-10% |
| HUMMEL, ELLIS, DAVENPORT | Individual | – | DIRECTOR | 07/2009 | < 5% |
| ROGERS, TITA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2011 | < 5% |
| THOMAS, STEPHANIE, SCHULZE | Individual | – | INSTITUTIONAL CLIENT MANAGING DIRECTOR | 07/2013 | < 5% |
| BAHL, WILLIAM, JEFFREY | Individual | – | DIRECTOR | 05/2014 | 5-10% |
| Puncer, Nicholas, W | Individual | – | INSTITUTIONAL PRODUCT MANAGING DIRECTOR | 04/2015 | < 5% |
| HEEKIN, CHRISTOPHER, JOHN | Individual | – | PRIVATE WEALTH SERVICES MANAGING DIRECTOR | 11/2016 | < 5% |
| GADE, KEVIN, THOMAS | Individual | – | CHIEF OPERATING OFFICER | 07/2018 | < 5% |
| Kwiatkowski, Peter, Michael | Individual | – | CHIEF INVESTMENT OFFICER | 01/2020 | < 5% |
| GROENKE, ROBERT, SCOTT | Individual | – | CHIEF EXECUTIVE OFFICER & PRESIDENT | 06/2020 | < 5% |
| Armstrong, Jenelle, M | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 04/2022 | < 5% |
| KNIPE, PETER, GRAHAM | Individual | – | MANAGING DIRECTOR | 07/2023 | < 5% |
| GALVIN, JOHN, PATRICK | Individual | – | MANAGING DIRECTOR | 07/2023 | < 5% |