DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PEPPERTREE PARTNERS

PEPPERTREE PARTNERS, LLC, CRD 111022

BEACHWOOD, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29863f18-7820-ea89-5e92-6201e7677036

Data as of May 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to May 10, 2017
12 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Peppertree Partners

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $64.1MItem 5.F on the latest filing (2017-05-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $64.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Accounts: 2
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $16.2Mgross asset value as reported per fund; never fund size
Custody, client assets: $64.1M
SEC number: 801-60525
CRD: 111022
Filings on the tape: 12
First filed: Mar 30, 2012
Latest filed: May 10, 2017
Organised: Limited Liability Company, Ohio

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PEPPERTREE FUND II, LP	Private Equity Fund	$12.4M	Nov 2, 2018	10	Mar 30, 2012	reported	021-66947
PEPPERTREE FUND, LP	Private Equity Fund	$0	Apr 28, 2017	0	Mar 30, 2012	reported	021-64455
PEPPERTREE SPECIAL VENTURE FUND LLC	Private Equity Fund	$0	Apr 28, 2017	0	Mar 30, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAKER, STEPHEN, ANDREW	VICE PRESIDENT	Na	yes	11/2008	Mar 30, 2012	May 10, 2017
FORT WASHINGTON INVESTMENT ADVISORS INC	Parent	E	yes	11/2008	Mar 30, 2012	May 10, 2017
HAWKINS, MICHELE	CHIEF COMPLIANCE OFFICER	Na	yes	06/2012	Jul 9, 2012	May 10, 2017
Lanham, Roger, Michael	SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER	Na	yes	04/2016	Mar 30, 2016	May 10, 2017
MEEK, JEFFREY, DAVID	Treasurer	Na	yes	03/2010	Dec 4, 2014	May 10, 2017
NIEMEYER, JONATHAN, DAVID	Secretary	Na	yes	09/2012	Dec 4, 2014	May 10, 2017
RAHE, MARIBETH, SEMBACH	President	Na	yes	11/2008	Mar 30, 2012	May 10, 2017
THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANY	Parent	E	yes	12/2006	Mar 30, 2012	May 10, 2017
WESTERN & SOUTHERN FINANCIAL GROUP, INC.	Parent	E	yes	09/2000	Mar 30, 2016	May 10, 2017
WESTERN & SOUTHERN INVESTMENT HOLDINGS, LLC	Parent	E	yes	12/2006	Mar 30, 2012	May 10, 2017
WESTERN & SOUTHERN MUTUAL HOLDING COMPANY	Parent	E	yes	09/2000	Mar 30, 2016	May 10, 2017
White, Brendan, Matthew	SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER	Na	yes	04/2016	Mar 30, 2016	May 10, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FORT WASHINGTON INVESTMENT ADVISORS INC	n/a	Institutional manager	$93B	Y	yes	n/a
TOUCHSTONE ADVISORS INC	n/a	Asset manager	$31B	N	yes	n/a
W&S BROKERAGE SERVICES, INC.	n/a	Bd affiliated wealth	$257M	N	yes	n/a
EAGLE REALTY CAPITAL PARTNERS, LLC	n/a	No RAUM reported	$0	N	yes	n/a
BUCKEYE VENTURE PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a
BVP NEO, LLC	n/a	n/a	n/a	Y	yes	n/a
FORT WASHINGTON CAPITAL PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
FORT WASHINGTON FIXED INCOME, LLC	n/a	n/a	n/a	N	yes	n/a
FORT WASHINGTON GLOBAL ALPHA GP LLC	n/a	n/a	n/a	N	yes	n/a
FWPEI IX GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEI V GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEI VI GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEI VII GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEI VIII GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEO II GP, LLC	n/a	n/a	n/a	N	yes	n/a
FWPEO III GP, LLC	n/a	n/a	n/a	N	yes	n/a
TOUCHSTONE SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a
TRI-STATE VENTURES II, LLC	n/a	n/a	n/a	N	yes	n/a
TRI-STATE VENTURES, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Offices	Private funds	Fund GAV
2016	Mar 29, 2017	$64.1M	$64.1M	0	n/a	1	$16.2M
2015	Mar 30, 2016	$93.5M	$93.5M	0	n/a	3	$49.1M
2014	Mar 27, 2015	$109M	$109M	0	n/a	3	$61.1M
2013	Mar 28, 2014	$119M	$119M	0	n/a	3	$69.0M
2012	Mar 26, 2013	$124M	$124M	0	n/a	3	$79.1M
2011	Mar 30, 2012	$132M	$132M	n/a	n/a	4	$198M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$64.1M	$93.5M	-31.5%	$119M	-18.6%	0	0	n/a	n/a

Relationships

Advises (3)

→ PEPPERTREE FUND II, LPPrivate fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ PEPPERTREE SPECIAL VENTURE FUND LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ PEPPERTREE FUND, LPPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV

Affiliated with (5)

→ TOUCHSTONE ADVISORS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ FORT WASHINGTON INVESTMENT ADVISORS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ EAGLE REALTY CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ W&S BROKERAGE SERVICES, INC.Registered adviserbroker-dealer, common control
factForm ADV
← CINCINNATI ANALYSTS, INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (12)

← FORT WASHINGTON INVESTMENT ADVISORS INCOwnerPARENT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← HAWKINS, MICHELEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 9, 2012 to presentfactForm ADV
← RAHE, MARIBETH, SEMBACHOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BAKER, STEPHEN, ANDREWOwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← NIEMEYER, JONATHAN, DAVIDOwnerSECRETARY, ownership code NA, individual
Dec 4, 2014 to presentfactForm ADV
← MEEK, JEFFREY, DAVIDOwnerTREASURER, ownership code NA, individual
Dec 4, 2014 to presentfactForm ADV
← White, Brendan, MatthewOwnerSENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← Lanham, Roger, MichaelOwnerSENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANYOwnerPARENT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← WESTERN & SOUTHERN FINANCIAL GROUP, INC.OwnerPARENT, ownership code E, domestic entity
Mar 30, 2016 to presentfactForm ADV
← WESTERN & SOUTHERN INVESTMENT HOLDINGS, LLCOwnerPARENT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← WESTERN & SOUTHERN MUTUAL HOLDING COMPANYOwnerPARENT, ownership code E, domestic entity
Mar 30, 2016 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29863f18-7820-ea89-5e92-6201e7677036
First observed: Mar 30, 2012
Last observed: May 10, 2017 114 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PEPPERTREE PARTNERS

PEPPERTREE PARTNERS, LLC, CRD 111022

BEACHWOOD, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29863f18-7820-ea89-5e92-6201e7677036

Data as of May 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:33 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PEPPERTREE FUND II, LP

Private Equity Fund

$12.4M

Nov 2, 2018

Mar 30, 2012

reported

021-66947

PEPPERTREE FUND, LP

Private Equity Fund

Apr 28, 2017

Mar 30, 2012

reported

021-64455

PEPPERTREE SPECIAL VENTURE FUND LLC

Private Equity Fund

Apr 28, 2017

Mar 30, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAKER, STEPHEN, ANDREW

VICE PRESIDENT

yes

11/2008

Mar 30, 2012

May 10, 2017

FORT WASHINGTON INVESTMENT ADVISORS INC

Parent

yes

11/2008

Mar 30, 2012

May 10, 2017

HAWKINS, MICHELE

CHIEF COMPLIANCE OFFICER

yes

06/2012

Jul 9, 2012

May 10, 2017

Lanham, Roger, Michael

SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER

yes

04/2016

Mar 30, 2016

May 10, 2017

MEEK, JEFFREY, DAVID

Treasurer

yes

03/2010

Dec 4, 2014

May 10, 2017

NIEMEYER, JONATHAN, DAVID

Secretary

yes

09/2012

Dec 4, 2014

May 10, 2017

RAHE, MARIBETH, SEMBACH

President

yes

11/2008

Mar 30, 2012

May 10, 2017

THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANY

Parent

yes

12/2006

Mar 30, 2012

May 10, 2017

WESTERN & SOUTHERN FINANCIAL GROUP, INC.

Parent

yes

09/2000

Mar 30, 2016

May 10, 2017

WESTERN & SOUTHERN INVESTMENT HOLDINGS, LLC

Parent

yes

12/2006

Mar 30, 2012

May 10, 2017

WESTERN & SOUTHERN MUTUAL HOLDING COMPANY

Parent

yes

09/2000

Mar 30, 2016

May 10, 2017

White, Brendan, Matthew

SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER

yes

04/2016

Mar 30, 2016

May 10, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FORT WASHINGTON INVESTMENT ADVISORS INC

n/a

Institutional manager

$93B

yes

n/a

TOUCHSTONE ADVISORS INC

n/a

Asset manager

$31B

yes

n/a

W&S BROKERAGE SERVICES, INC.

n/a

Bd affiliated wealth

$257M

yes

n/a

EAGLE REALTY CAPITAL PARTNERS, LLC

n/a

No RAUM reported

yes

n/a

BUCKEYE VENTURE PARTNERS, LLC

n/a

yes

n/a

BVP NEO, LLC

n/a

yes

n/a

FORT WASHINGTON CAPITAL PARTNERS, LLC

n/a

yes

n/a

FORT WASHINGTON FIXED INCOME, LLC

n/a

yes

n/a

FORT WASHINGTON GLOBAL ALPHA GP LLC

n/a

yes

n/a

FWPEI IX GP, LLC

n/a

yes

n/a

FWPEI V GP, LLC

n/a

yes

n/a

FWPEI VI GP, LLC

n/a

yes

n/a

FWPEI VII GP, LLC

n/a

yes

n/a

FWPEI VIII GP, LLC

n/a

yes

n/a

FWPEO II GP, LLC

n/a

yes

n/a

FWPEO III GP, LLC

n/a

yes

n/a

TOUCHSTONE SECURITIES, INC.

n/a

yes

n/a

TRI-STATE VENTURES II, LLC

n/a

yes

n/a

TRI-STATE VENTURES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$64.1M

n/a

$16.2M

2015

Mar 30, 2016

$93.5M

n/a

$49.1M

2014

Mar 27, 2015

$109M

n/a

$61.1M

2013

Mar 28, 2014

$119M

n/a

$69.0M

2012

Mar 26, 2013

$124M

n/a

$79.1M

2011

Mar 30, 2012

$132M

n/a

$198M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$64.1M

$93.5M

-31.5%

$119M

-18.6%

n/a