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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 10b 100b

BAHL & GAYNOR LLC

CRD 106139

CINCINNATI, 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:483105a6-eea2-bf6c-eb03-4aed2d993c46

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 8
On other graphs: 0
Observed: Mar 26, 2012 to Jul 9, 2026
56 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.33 fund_share=0.38 institutional_share=0.28 related_bd=false related_bank=false bd_reps=23.0
Regulatory AUM: $21BItem 5.F on the latest filing (2026-07-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $21B
Private client RAUM: $7.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 25
RAUM per advisor: $840Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 79
Advisory employees: 47
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3,251
High net worth clients: 779
SEC number: 801-36951
CIK: 106139
CRD: 106139
Filings on the tape: 56
First filed: Mar 26, 2012
Latest filed: Jul 9, 2026
Organised: Limited Liability Company, OH
Website: bahl-gaynor.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ELEANOR KIRBY MOFFAT	n/a	CINCINNATI, OH	25	29	n/a	no
CHARLES ABBOTT PETTENGILL	Chartered Investment Counselor	CINCINNATI, OH	25	29	n/a	no
SCOTT DAVIS RODES	n/a	CINCINNATI, OH	23	25	n/a	no
JEFFREY DAVID ROSEN	n/a	Dunwoody, GA \| CINCINNATI, OH	2	34	1	yes
KEVIN PATRICK BOMAN	n/a	Princeton, NJ \| CINCINNATI, OH	2	17	1	yes
PETER GRAHAM KNIPE	n/a	CINCINNATI, OH \| Robbinsville, NJ	2	18	1	yes
JOHN P GALVIN	n/a	Princeton, NJ \| CINCINNATI, OH	2	23	2	yes
ANTHONY ROBERT SABA	n/a	CINCINNATI, OH \| Oswego, IL	2	28	4	yes
JOSEPH DAVID BESHARA	n/a	Tampa, FL \| CINCINNATI, OH	2	26	4	yes
ANDREW JOHN RAIA	n/a	Elmhurst, IL \| CINCINNATI, OH	2	23	3	yes
JAYME SUE FOX	n/a	Monument, CO \| CINCINNATI, OH	2	19	2	yes
RYAN PATRICK WELCH	n/a	CINCINNATI, OH \| Melrose, MA	2	21	1	yes
STEVEN ANGELO MAZZUCHELLI	n/a	CINCINNATI, OH \| Cold Spring, NY	2	18	1	yes
AMY KATHLEEN HENEGAN	n/a	CINCINNATI, OH \| Princeton, NJ	2	13	n/a	yes
NICOLAS WERTHMAN	n/a	East Lansing, MI \| CINCINNATI, OH	2	11	2	yes
NEAL YOUNG LEE	n/a	Arlington, VA \| CINCINNATI, OH	2	23	3	yes
JOHN PATRICK GALVIN	n/a	Suwanee, GA \| CINCINNATI, OH	2	17	1	yes
Matthew John Carroll	Certified Financial Planner	CINCINNATI, OH	2	12	n/a	no
Kelsey Marie Flannery	Certified Financial Planner	CINCINNATI, OH	2	11	n/a	no
Jeremy David Kees	n/a	Cedar Grove, NJ \| CINCINNATI, OH	1	18	3	yes
WILLIAM LAWRENCE MCGARRIE	Certified Financial Planner	BROOKLYN, NY \| CINCINNATI, OH	1	11	1	yes
SHANE ALAN RUSSELL	n/a	CINCINNATI, OH \| Bloomfield Hills, MI	0	28	3	yes
Aaron Krauss	n/a	CINCINNATI, OH \| Brookhaven, GA	0	17	1	yes
BRIAN MICHAEL RIDGEWAY	n/a	Denver, CO \| CINCINNATI, OH	0	12	3	yes
Christopher Anthony Guy	Certified Financial Planner	CINCINNATI, OH	0	10	n/a	no

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
ABER, ERIC, MICHAEL	CHIEF TECHNOLOGY OFFICER	Na	yes	11/2024	Jul 9, 2026	Jul 9, 2026
Armstrong, Jenelle, M	CHIEF ADMINISTRATIVE OFFICER	Na	yes	04/2022	Jul 9, 2026	Jul 9, 2026
BAHL & GAYNOR HOLDINGS INC	PARENT COMPANY	E	yes	06/2026	Jul 9, 2026	Jul 9, 2026
GADE, KEVIN, THOMAS	CHIEF OPERATING OFFICER	Na	yes	07/2018	Jul 9, 2026	Jul 9, 2026
GROENKE, ROBERT, SCOTT	CHIEF EXECUTIVE OFFICER & PRESIDENT	Na	yes	06/2020	Jul 9, 2026	Jul 9, 2026
Kwiatkowski, Peter, Michael	CHIEF INVESTMENT OFFICER	Na	yes	01/2020	Jul 9, 2026	Jul 9, 2026
ROGERS, TITA, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2011	Jul 9, 2026	Jul 9, 2026
BAHL, WILLIAM, JEFFREY	Director	A	yes	05/2014	May 7, 2014	Dec 12, 2024
GALVIN, JOHN, PATRICK	MANAGING DIRECTOR	Na	yes	07/2023	Nov 27, 2023	Dec 12, 2024
HEEKIN, CHRISTOPHER, JOHN	PRIVATE WEALTH SERVICES MANAGING DIRECTOR	Na	yes	11/2016	Nov 28, 2016	Dec 12, 2024
HUMMEL, ELLIS, DAVENPORT	Director	Na	yes	07/2009	Mar 26, 2012	Dec 12, 2024
KNIPE, PETER, GRAHAM	MANAGING DIRECTOR	Na	yes	07/2023	Nov 27, 2023	Dec 12, 2024
PETTENGILL, CHARLES, ABBOTT	Chairman	A	yes	05/1997	Mar 26, 2012	Dec 12, 2024
Puncer, Nicholas, W	INSTITUTIONAL PRODUCT MANAGING DIRECTOR	Na	yes	04/2015	Nov 16, 2015	Dec 12, 2024
SCHMITZ, JOHN, BRIEN	DIRECTOR, TREASURER	A	yes	12/2006	Mar 26, 2012	Dec 12, 2024
THOMAS, STEPHANIE, SCHULZE	INSTITUTIONAL CLIENT MANAGING DIRECTOR	Na	yes	07/2013	Oct 17, 2013	Dec 12, 2024
WARDEN, GLENN, D.	CHIEF TECHNOLOGY OFFICER	Na	yes	04/2005	Mar 26, 2012	Dec 12, 2024
WOODS, EDWARD, ALLAN	DIRECTOR, SECRETARY	A	yes	09/2004	Mar 26, 2012	Dec 12, 2024
GAYNOR, VERE, WARBURTON	DIRECTOR EMERITUS	B	no	07/1990	Mar 26, 2012	Dec 12, 2024
RODES, SCOTT, DAVIS	PORTFOLIO MANAGER	A	no	06/2001	Mar 26, 2012	Dec 12, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Princeton	Nj	United States	4	no

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 9, 2026	$21B	$21B	79	47	1	n/a	n/a
2024	Apr 17, 2025	$20B	$20B	80	45	1	n/a	n/a
2023	Mar 4, 2024	$18B	$18B	67	36	1	n/a	n/a
2022	Mar 8, 2023	$17B	$17B	41	33	0	n/a	n/a
2021	Mar 3, 2022	$18B	$18B	35	32	0	n/a	n/a
2020	Mar 5, 2021	$16B	$16B	29	27	0	n/a	n/a
2019	Mar 18, 2020	$16B	$15B	25	22	0	n/a	n/a
2018	Feb 26, 2019	$12B	$11B	23	20	1	n/a	n/a
2017	Feb 27, 2018	$11B	$11B	19	16	1	n/a	n/a
2016	Mar 7, 2017	$9.1B	$8.5B	19	16	n/a	n/a	n/a
2015	Mar 1, 2016	$7.7B	$7.2B	17	15	n/a	n/a	n/a
2014	Mar 4, 2015	$7.5B	$7.1B	17	15	n/a	n/a	n/a
2013	Mar 12, 2014	$6.4B	$6.0B	14	12	n/a	n/a	n/a
2012	Mar 27, 2013	$5.4B	$5.1B	17	15	n/a	n/a	n/a
2011	Mar 26, 2012	$3.7B	$3.5B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	0	3	0.0%	0	0	0	19	1

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
2025	$21B	$20B	4.5%	$17B	6.3%	79	80	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ADVISORS ASSET MANAGEMENT, INC.	5	Jun 30, 2023	Feb 29, 2024	PRINCETON, NJ	Team lift out	Other	4.2%

Relationships

Registered with (26)

← Christopher Anthony GuyAdvisorregistration: current employment
Jul 29, 2026 to presentfactForm ADV
← Aaron KraussAdvisorregistration: current employment
Sep 24, 2025 to presentfactForm ADV
← BRIAN MICHAEL RIDGEWAYAdvisorregistration: current employment
Sep 24, 2025 to presentfactForm ADV
← SHANE ALAN RUSSELLAdvisorregistration: current employment
Sep 23, 2025 to presentfactForm ADV
← WILLIAM LAWRENCE MCGARRIEAdvisorregistration: current employment
Jul 30, 2025 to presentfactForm ADV
← Jeremy David KeesAdvisorregistration: current employment
Jan 7, 2025 to presentfactForm ADV
← Kelsey Marie FlanneryAdvisorregistration: current employment
Aug 7, 2024 to presentfactForm ADV
← Matthew John CarrollAdvisorregistration: current employment
Jul 16, 2024 to presentfactForm ADV
← JOHN PATRICK GALVINAdvisorregistration: current employment
Mar 1, 2024 to presentfactForm ADV
← NEAL YOUNG LEEAdvisorregistration: current employment
Feb 29, 2024 to presentfactForm ADV
← JEFFREY DAVID ROSENAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← KEVIN PATRICK BOMANAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← PETER GRAHAM KNIPEAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← JOHN P GALVINAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← ANTHONY ROBERT SABAAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← JOSEPH DAVID BESHARAAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← ANDREW JOHN RAIAAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← JAYME SUE FOXAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← RYAN PATRICK WELCHAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← STEVEN ANGELO MAZZUCHELLIAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← AMY KATHLEEN HENEGANAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← NICOLAS WERTHMANAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← SCOTT DAVIS RODESAdvisorregistration: current employment
Jun 24, 2003 to presentfactForm ADV
← ELEANOR KIRBY MOFFATAdvisorregistration: current employment
Aug 7, 2001 to presentfactForm ADV
← CHARLES ABBOTT PETTENGILLAdvisorregistration: current employment
Aug 7, 2001 to presentfactForm ADV
← CHLOE ANNE HUNTAdvisorregistration: previous registration
Feb 28, 2024 to Apr 2, 2025factForm ADV

Controls (17)

← SCHMITZ, JOHN, BRIENOwnerDIRECTOR, TREASURER, ownership code A, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← HUMMEL, ELLIS, DAVENPORTOwnerDIRECTOR, ownership code NA, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← KNIPE, PETER, GRAHAMOwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 27, 2023 to Dec 12, 2024factForm ADV
← PETTENGILL, CHARLES, ABBOTTOwnerCHAIRMAN, ownership code A, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← HEEKIN, CHRISTOPHER, JOHNOwnerPRIVATE WEALTH SERVICES MANAGING DIRECTOR, ownership code NA, individual
Nov 28, 2016 to Dec 12, 2024factForm ADV
← BAHL, WILLIAM, JEFFREYOwnerDIRECTOR, ownership code A, individual
May 7, 2014 to Dec 12, 2024factForm ADV
← THOMAS, STEPHANIE, SCHULZEOwnerINSTITUTIONAL CLIENT MANAGING DIRECTOR, ownership code NA, individual
Oct 17, 2013 to Dec 12, 2024factForm ADV
← WOODS, EDWARD, ALLANOwnerDIRECTOR, SECRETARY, ownership code A, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← WARDEN, GLENN, D.OwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← GROENKE, ROBERT, SCOTTOwnerCHIEF EXECUTIVE OFFICER & PRESIDENT, ownership code NA, individual
Dec 16, 2020 to Dec 12, 2024factForm ADV
← GALVIN, JOHN, PATRICKOwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 27, 2023 to Dec 12, 2024factForm ADV
← ROGERS, TITA, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← GADE, KEVIN, THOMASOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Oct 24, 2018 to Dec 12, 2024factForm ADV
← ABER, ERIC, MICHAELOwnerDIRECTOR OF SOFTWARE & AUTOMATION, ownership code NA, individual
Nov 27, 2024 to Dec 12, 2024factForm ADV
← Puncer, Nicholas, WOwnerINSTITUTIONAL PRODUCT MANAGING DIRECTOR, ownership code NA, individual
Nov 16, 2015 to Dec 12, 2024factForm ADV
← Kwiatkowski, Peter, MichaelOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 18, 2020 to Dec 12, 2024factForm ADV
← Armstrong, Jenelle, MOwnerCHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Apr 14, 2022 to Dec 12, 2024factForm ADV

Owns (2)

← RODES, SCOTT, DAVISOwnerPORTFOLIO MANAGER, ownership code A, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV
← GAYNOR, VERE, WARBURTONOwnerDIRECTOR EMERITUS, ownership code B, individual
Mar 26, 2012 to Dec 12, 2024factForm ADV

Moved with (1)

← ADVISORS ASSET MANAGEMENT, INC.Registered adviser5 advisors, team lift out
Jun 30, 2023 to Feb 29, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 2, 2025
Advisor changed firm
Chloe Anne Hunt left Bahl & Gaynor Llc for Virtus Investment Advisers, Llc (registered 2025-04-08)
Form ADVobserved 4 days ago
Occurred
Nov 27, 2024
Control person joined
Michael Eric Aber (Director Of Software & Automation) appeared on Schedule A of Bahl & Gaynor Llc
Form ADVobserved 4 days ago
Occurred
Nov 27, 2023
Control person joined
Graham Peter Knipe (Managing Director) appeared on Schedule A of Bahl & Gaynor Llc
Form ADVobserved 4 days ago
Occurred
Nov 27, 2023
Control person joined
Patrick John Galvin (Managing Director) appeared on Schedule A of Bahl & Gaynor Llc
Form ADVobserved 4 days ago
Occurred
Jun 30, 2023
Team lift-out
5 advisors left Advisors Asset Management, Inc. (Princeton, NJ) for Bahl & Gaynor LLC within 6 days
Form ADVobserved 4 days ago
5 advisors
Occurred
Apr 14, 2022
Control person joined
M Jenelle Armstrong (Chief Administrative Officer) appeared on Schedule A of Bahl & Gaynor Llc
Form ADVobserved 4 days ago
Occurred
Feb 27, 2018
Regulatory AUM changed
Bahl & Gaynor Llc reported RAUM $11.4B, up 26% from $9.1B (2017-03-07 to 2018-02-27)
Form ADVobserved 4 days ago
$2.4B

Show 1 bookkeeping events

Occurred
Mar 4, 2024
Bahl & Gaynor Llc reported 18 state-registered advisory representatives, up from 0 (2023-11-27 to 2024-03-04)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:483105a6-eea2-bf6c-eb03-4aed2d993c46
First observed: Mar 26, 2012
Last observed: Jul 9, 2026 2 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.

BAHL & GAYNOR LLC

CRD 106139

CINCINNATI, 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:483105a6-eea2-bf6c-eb03-4aed2d993c46

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ELEANOR KIRBY MOFFAT

n/a

CINCINNATI, OH

n/a

CHARLES ABBOTT PETTENGILL

Chartered Investment Counselor

CINCINNATI, OH

n/a

SCOTT DAVIS RODES

n/a

CINCINNATI, OH

n/a

JEFFREY DAVID ROSEN

n/a

Dunwoody, GA | CINCINNATI, OH

yes

KEVIN PATRICK BOMAN

n/a

Princeton, NJ | CINCINNATI, OH

yes

PETER GRAHAM KNIPE

n/a

CINCINNATI, OH | Robbinsville, NJ

yes

JOHN P GALVIN

n/a

Princeton, NJ | CINCINNATI, OH

yes

ANTHONY ROBERT SABA

n/a

CINCINNATI, OH | Oswego, IL

yes

JOSEPH DAVID BESHARA

n/a

Tampa, FL | CINCINNATI, OH

yes

ANDREW JOHN RAIA

n/a

Elmhurst, IL | CINCINNATI, OH

yes

JAYME SUE FOX

n/a

Monument, CO | CINCINNATI, OH

yes

RYAN PATRICK WELCH

n/a

CINCINNATI, OH | Melrose, MA

yes

STEVEN ANGELO MAZZUCHELLI

n/a

CINCINNATI, OH | Cold Spring, NY

yes

AMY KATHLEEN HENEGAN

n/a

CINCINNATI, OH | Princeton, NJ

n/a

yes

NICOLAS WERTHMAN

n/a

East Lansing, MI | CINCINNATI, OH

yes

NEAL YOUNG LEE

n/a

Arlington, VA | CINCINNATI, OH

yes

JOHN PATRICK GALVIN

n/a

Suwanee, GA | CINCINNATI, OH

yes

Matthew John Carroll

Certified Financial Planner

CINCINNATI, OH

n/a

Kelsey Marie Flannery

Certified Financial Planner

CINCINNATI, OH

n/a

Jeremy David Kees

n/a

Cedar Grove, NJ | CINCINNATI, OH

yes

WILLIAM LAWRENCE MCGARRIE

Certified Financial Planner

BROOKLYN, NY | CINCINNATI, OH

yes

SHANE ALAN RUSSELL

n/a

CINCINNATI, OH | Bloomfield Hills, MI

yes

Aaron Krauss

n/a

CINCINNATI, OH | Brookhaven, GA

yes

BRIAN MICHAEL RIDGEWAY

n/a

Denver, CO | CINCINNATI, OH

yes

Christopher Anthony Guy

Certified Financial Planner

CINCINNATI, OH

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABER, ERIC, MICHAEL

CHIEF TECHNOLOGY OFFICER

yes

11/2024

Jul 9, 2026

Armstrong, Jenelle, M

CHIEF ADMINISTRATIVE OFFICER

yes

04/2022

Jul 9, 2026

BAHL & GAYNOR HOLDINGS INC

PARENT COMPANY

yes

06/2026

Jul 9, 2026

GADE, KEVIN, THOMAS

CHIEF OPERATING OFFICER

yes

07/2018

Jul 9, 2026

GROENKE, ROBERT, SCOTT

CHIEF EXECUTIVE OFFICER & PRESIDENT

yes

06/2020

Jul 9, 2026

Kwiatkowski, Peter, Michael

CHIEF INVESTMENT OFFICER

yes

01/2020

Jul 9, 2026

ROGERS, TITA, ANN

CHIEF COMPLIANCE OFFICER

yes

06/2011

Jul 9, 2026

BAHL, WILLIAM, JEFFREY

Director

yes

05/2014

May 7, 2014

Dec 12, 2024

GALVIN, JOHN, PATRICK

MANAGING DIRECTOR

yes

07/2023

Nov 27, 2023

Dec 12, 2024

HEEKIN, CHRISTOPHER, JOHN

PRIVATE WEALTH SERVICES MANAGING DIRECTOR

yes

11/2016

Nov 28, 2016

Dec 12, 2024

HUMMEL, ELLIS, DAVENPORT

Director

yes

07/2009

Mar 26, 2012

Dec 12, 2024

KNIPE, PETER, GRAHAM

MANAGING DIRECTOR

yes

07/2023

Nov 27, 2023

Dec 12, 2024

PETTENGILL, CHARLES, ABBOTT

Chairman

yes

05/1997

Mar 26, 2012

Dec 12, 2024

Puncer, Nicholas, W

INSTITUTIONAL PRODUCT MANAGING DIRECTOR

yes

04/2015

Nov 16, 2015

Dec 12, 2024

SCHMITZ, JOHN, BRIEN

DIRECTOR, TREASURER

yes

12/2006

Mar 26, 2012

Dec 12, 2024

THOMAS, STEPHANIE, SCHULZE

INSTITUTIONAL CLIENT MANAGING DIRECTOR

yes

07/2013

Oct 17, 2013

Dec 12, 2024

WARDEN, GLENN, D.

CHIEF TECHNOLOGY OFFICER

yes

04/2005

Mar 26, 2012

Dec 12, 2024

WOODS, EDWARD, ALLAN

DIRECTOR, SECRETARY

yes

09/2004

Mar 26, 2012

Dec 12, 2024

GAYNOR, VERE, WARBURTON

DIRECTOR EMERITUS

07/1990

Mar 26, 2012

Dec 12, 2024

RODES, SCOTT, DAVIS

PORTFOLIO MANAGER

06/2001

Mar 26, 2012

Dec 12, 2024

City

State

Country

Employees

Also broker-dealer

Princeton

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 9, 2026

$21B

n/a

2024

Apr 17, 2025

$20B

n/a

2023

Mar 4, 2024

$18B

n/a

2022

Mar 8, 2023

$17B

n/a

2021

Mar 3, 2022

$18B

n/a

2020

Mar 5, 2021

$16B

n/a

2019

Mar 18, 2020

$16B

$15B

n/a

2018

Feb 26, 2019

$12B

$11B

n/a

2017

Feb 27, 2018

$11B

n/a

2016

Mar 7, 2017

$9.1B

$8.5B

n/a

2015

Mar 1, 2016

$7.7B

$7.2B

n/a

2014

Mar 4, 2015

$7.5B

$7.1B

n/a

2013

Mar 12, 2014

$6.4B

$6.0B

n/a

2012

Mar 27, 2013

$5.4B

$5.1B

n/a

2011

Mar 26, 2012

$3.7B

$3.5B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$21B

$20B

4.5%

$17B

6.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ADVISORS ASSET MANAGEMENT, INC.

Jun 30, 2023

Feb 29, 2024

PRINCETON, NJ

Team lift out

Other

4.2%