FORT WASHINGTON INVESTMENT ADVISORS INC
Adviser information for FORT WASHINGTON INVESTMENT ADVISORS INC last updated from Form ADV on March 28th, 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 | 158 |
|---|---|
| Investment Advisory/Research | 94 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 18 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,406 | $79.2B |
| Non-Discretionary | 38 | $250.5M |
| Total | 1,444 | $79.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 393 | $776.8M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 1 | $10.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 45 | $7.1B |
| Pension and profit sharing plans | 9 | $3.4B |
| Charitable organizations | 57 | $1.2B |
| State or municipal gov entities | <5 | $2.1B |
| Other investment advisers | <5 | $0 |
| Insurance companies | 12 | $52.3B |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 20 | $2.3B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)SUB-ADVISORY |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 128.3M |
| Both for Same | 5,000 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| UBS MANAGED ACCOUNTS CONSULTING ("MAC") | UBS FINANCIAL SERVICES INC. |
| W&S WEALTH SOLUTIONS | W&S BROKERAGE SERVICES, INC. |
| LINCOLN INVESTMENT PLANNING CAAMS SELECT PROGRAM | LINCOLN INVESTMENT |
| UGMA WRAP FEE PROGRAM | FORT WASHINGTON INVESTMENT ADVISORS INC |
Identifiers
| SEC RIA File Number | 801-37235 |
|---|---|
| SEC ERA File Number | 801-37235 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107126 |
| Legal Entity Identifier | KSRXYW3EHSEF8KM62609 |
Principal Office
303 BROADWAYSUITE 1200
CINCINNATI
OH
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 513-361-7600, Fax: 513-361-7689
Chief Compliance Officer
MICHELE HAWKINS
CHIEF COMPLIANCE OFFICER
303 BROADWAY
SUITE 1200
CINCINNATI
OH
United States
Tel:
(513) 361-7652
Fax:
(513) 361-7689
M**************@*****************M
(Full email address available in API data)
Regulatory Contact
THOMAS STELTENKAMP
COMPLIANCE OFFICER
BROADWAYSUITE 1200
303
CINCINNATI
OH
United States
Tel:
15133617653
T*****************@*****************M
(Full email address available in API data)
Industry Affiliates
| BUCKEYE VENTURE PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BVP NEO, LLC | Sponsor, GP, manager of pooled investment vehicles |
| EAGLE REALTY CAPITAL PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FORT WASHINGTON CAPITAL PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FORT WASHINGTON FIXED INCOME, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FORT WASHINGTON SECURITIES LENDING FIXED INCOME LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI IX GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI MAUNA KEA GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI SMALL MARKET II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI V GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI VI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI VII GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI VIII GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI X GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEI XI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEO II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEO III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEO IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FWPEO V GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TOUCHSTONE ADVISORS INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOUCHSTONE SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| W&S BROKERAGE SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FORT WASHINGTON CORE PLUS FIXED INCOME, LLC | Hedge Fund | $861.0M | $1.0M | 29 |
| FORT WASHINGTON EMERGING MARKET DEBT LLC | Hedge Fund | $265.1M | $1.0M | 5 |
| FORT WASHINGTON HIGH YIELD INVESTORS II, LLC | TRADITIONAL LONG FUND | $275.5M | $0.5M | 19 |
| FORT WASHINGTON HIGH YIELD INVESTORS LLC | TRADITIONAL LONG FUND | $381.1M | $0.5M | 23 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS III, L.P. | Private Equity Fund | $19.6M | $0.3M | 4 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS IV, L.P. | Private Equity Fund | $6.7M | $0.3M | 21 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS IX-B, L.P. | Private Equity Fund | $147.7M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS IX-K, L.P. | Private Equity Fund | $64.5M | $0.0M | 3 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS IX, L.P. | Private Equity Fund | $296.1M | $1.0M | 39 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS V-B, L.P. | Private Equity Fund | $13.2M | $0.3M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS V-VC, L.P. | Private Equity Fund | $26.5M | $0.3M | 3 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS V, L.P. | Private Equity Fund | $32.6M | $0.3M | 17 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS VI, L.P. | Private Equity Fund | $53.3M | $0.5M | 14 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS VII, L.P. | Private Equity Fund | $90.4M | $0.3M | 49 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS VIII-B, L.P. | Private Equity Fund | $31.6M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS VIII, L.P. | Private Equity Fund | $265.7M | $5.0M | 36 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS X-B, L.P. | Private Equity Fund | $126.7M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS X, L.P. | Private Equity Fund | $286.0M | $1.0M | 66 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS XI-B, L.P. | Private Equity Fund | $39.6M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS XI-K, L.P. | Private Equity Fund | $34.1M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY INVESTORS XI, L.P. | Private Equity Fund | $122.3M | $5.0M | 70 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND II, L.P. | Private Equity Fund | $23.3M | $0.1M | 60 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND III-B, L.P. | Private Equity Fund | $11.9M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND III, L.P. | Private Equity Fund | $87.3M | $0.3M | 56 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND IV-B, L.P. | Private Equity Fund | $15.1M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND IV-FEEDER, LLC | Private Equity Fund | $27.7M | $0.0M | 1 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND IV-K, L.P. | Private Equity Fund | $42.1M | $0.0M | 4 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND IV, L.P. | Private Equity Fund | $167.5M | $5.0M | 48 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND V-B, L.P. | Private Equity Fund | $0.0M | $5.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY OPPORTUNITIES FUND V, L.P. | Private Equity Fund | $0.0M | $5.0M | 3 |
| FORT WASHINGTON PRIVATE EQUITY SMALL MARKET INVESTORS II-B, L.P. | Private Equity Fund | $39.0M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY SMALL MARKET INVESTORS II-K, L.P. | Private Equity Fund | $41.7M | $0.0M | 2 |
| FORT WASHINGTON PRIVATE EQUITY SMALL MARKET INVESTORS II, L.P. | Private Equity Fund | $30.3M | $5.0M | 9 |
| FORT WASHINGTON PRIVATE EQUITY SMALL MARKET INVESTORS X-S, L.P. | Private Equity Fund | $48.3M | $0.0M | 4 |
| FORT WASHINGTON STRATEGIC INCOME LLC | Hedge Fund | $334.7M | $1.0M | 14 |
| MAUNA KEA TAFT-HARTLEY PARTNERS (ERISA), L.P. | Private Equity Fund | $24.6M | $5.0M | 3 |
| NEO CAPITAL FUND, L.P. | Private Equity Fund | $12.2M | $0.3M | 14 |
| SECURITIES LENDING FUND LLC | Liquidity Fund | $1,467.4M | $0.0M | 18 |
| THE OHIO CAPITAL FUND LLC | Private Equity Fund | $46.8M | $157.9M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WUEBBLING, DONALD, JOSEPH | Individual | – | DIRECTOR | 06/1990 | < 5% |
| HAWKINS, MICHELE | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 07/2004 | < 5% |
| BARRETT, JOHN, FINN | Individual | – | DIRECTOR | 01/2000 | < 5% |
| WESTERN-SOUTHERN MUTUAL HOLDING COMPANY | Domestic Entity | WESTERN SOUTHERN FINANCIAL GROUP, INC. | PARENT | 09/2000 | > 75% |
| WESTERN SOUTHERN FINANCIAL GROUP | Domestic Entity | WESTERN SOUTHERN LIFE | PARENT | 09/2000 | > 75% |
| SARGEN, NICHOLAS, PETER | Individual | – | DIRECTOR, SENIOR ECONOMIC ADVISOR | 06/2003 | < 5% |
| RAHE, MARIBETH, SEMBACH | Individual | – | PRESIDENT & CEO | 11/2003 | < 5% |
| THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANY | Domestic Entity | WESTERN & SOUTHERN INVESTMENT HOLDINGS, LLC | PARENT | 12/2006 | > 75% |
| WESTERN & SOUTHERN INVESTMENT HOLDINGS, LLC | Domestic Entity | – | PARENT | 12/2006 | > 75% |
| NIEMEYER, JONATHAN, DAVID | Individual | – | DIRECTOR | 03/2016 | < 5% |
| HENDERSON, DAVID, TODD | Individual | – | CHIEF RISK OFFICER | 10/2014 | < 5% |
| Stainton, Jeffrey, Laurence | Individual | – | SECRETARY | 03/2016 | < 5% |
| White, Brendan, Matthew | Individual | – | SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER | 04/2016 | < 5% |
| WALZER, ERIC, J | Individual | – | VICE PRESIDENT, INVESTMENT OPERATIONS | 08/2017 | < 5% |
| Ulland, Gerald, Joseph | Individual | – | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER | 08/2017 | < 5% |
| JOHNSON, JAY, VINCENT | Individual | – | TREASURER | 05/2018 | < 5% |
| Stofa, Tracey, Marie | Individual | – | MANAGING DIRECTOR, HEAD OF PRIVATE CLIENT GROUP | 07/2022 | < 5% |
| O'CONNOR, JOHN, F. | Individual | – | MANAGING DIRECTOR & HEAD OF BUSINESS DEVELOPMENT | 09/2022 | < 5% |
| SHIPLEY, CHRISTOPHER | Individual | – | SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER | 01/2024 | < 5% |