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CRD 146681
CINCINNATI, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| KENNETH HOWARD TOFT | Chartered Financial Analyst | CINCINNATI, OH | 2 | 18 | 1 | no |
| MICHAEL THOMAS BUCKIUS | Chartered Financial Analyst | CINCINNATI, OH | 2 | 30 | 2 | no |
| DANIEL MITCHELL ASHCRAFT | Chartered Financial Analyst | CINCINNATI, OH | 2 | 13 | 1 | no |
| Mitchell John Trotta | Chartered Financial Analyst | CINCINNATI, OH | 2 | 10 | 1 | no |
| JOSEPH CARMINE FERRARA | n/a | CINCINNATI, OH | Boston, MA | 2 | 12 | n/a | no |
| Michael Robert Knapke | n/a | CINCINNATI, OH | Orlando, FL | 2 | 13 | 1 | no |
| STEPHEN JOSEPH SOLAKA | n/a | Los Angeles, CA | CINCINNATI, OH | 1 | 20 | 2 | no |
| DANIEL BECKWITH | Certified Financial Planner | CINCINNATI, OH | Los Angeles, CA | 1 | 21 | 4 | no |
| Dylan Kirk Barlow | n/a | Los Angeles, CA | CINCINNATI, OH | 1 | 15 | 1 | no |
| Mathew David Evans | Chartered Financial Analyst | CINCINNATI, OH | 0 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Bpce | Shareholder | E | yes | 07/2009 | Mar 30, 2012 | Jun 25, 2024 |
| BUCKIUS, MICHAEL, THOMAS | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER, AND BOARD MEMBER | Na | yes | 03/2021 | Mar 30, 2012 | Jun 25, 2024 |
| GIUNTA, DAVID, LAWRENCE | BOARD MEMBER | Na | yes | 08/2009 | Mar 30, 2012 | Jun 25, 2024 |
| Natixis | Shareholder | E | yes | 09/2011 | Mar 30, 2012 | Jun 25, 2024 |
| NATIXIS INVESTMENT MANAGERS | Shareholder | E | yes | 08/2004 | Mar 29, 2018 | Jun 25, 2024 |
| NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 | Member | E | yes | 06/2005 | Mar 29, 2018 | Jun 25, 2024 |
| NATIXIS INVESTMENT MANAGERS, LLC | Member | E | yes | 02/2008 | Mar 29, 2018 | Jun 25, 2024 |
| NATIXIS INVESTMENT MANAGERS, LLC | Shareholder | E | yes | 02/2008 | Mar 29, 2018 | Jun 25, 2024 |
| ORFANOS, JAMES, T | BOARD MEMBER | Na | yes | 05/2014 | Jun 24, 2014 | Jun 25, 2024 |
| SCHMUELLING, JULIE, MARIE | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT, AND BOARD MEMBER | Na | yes | 01/2022 | Mar 30, 2012 | Jun 25, 2024 |
| WARD, ERIC, NORMAN | BOARD MEMBER | Na | yes | 09/2022 | Mar 31, 2023 | Jun 25, 2024 |
| ASHCRAFT, DANIEL, MITCHELL | VICE PRESIDENT AND BOARD MEMBER | Na | no | 09/2022 | Jul 11, 2022 | Jun 25, 2024 |
| BICKEL, NELSON, CRAIG | VICE PRESIDENT AND CHIEF INFORMATION OFFICER | Na | no | 02/2008 | Mar 30, 2012 | Jun 25, 2024 |
| BRIDGE, THERESA, MARIE | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | Na | no | 03/2022 | Mar 24, 2017 | Jun 25, 2024 |
| HOPKINS, MAXWELL, JAMES | CHIEF RISK OFFICER, COUNSEL, AND COMPLIANCE OFFICER | Na | no | 01/2024 | Mar 26, 2024 | Jun 25, 2024 |
| Knapke, Michael, Robert | VICE PRESIDENT, DIRECTOR OF MARKETING | Na | no | 01/2023 | Mar 31, 2023 | Jun 25, 2024 |
| TOFT, KENNETH, HOWARD | SENIOR VICE PRESIDENT | Na | no | 02/2013 | Mar 30, 2012 | Jun 25, 2024 |
| TOMICH, TRICIA, GROFF | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AND SECRETARY | Na | no | 03/2021 | Mar 30, 2012 | Jun 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LOOMIS, SAYLES & COMPANY, L.P. | n/a | Other adviser | $387B | N | yes | n/a |
| HARRIS ASSOCIATES LP | n/a | Asset manager | $109B | N | yes | n/a |
| NATIXIS ADVISORS, LLC | n/a | Bd affiliated wealth | $109B | N | yes | n/a |
| VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. | n/a | Other adviser | $12B | N | yes | n/a |
| AEW CAPITAL MANAGEMENT LP | n/a | Other adviser | $3.0B | N | yes | n/a |
| FLEXSTONE PARTNERS SAS | n/a | n/a | n/a | N | yes | n/a |
| INVESTORS MUTUAL LIMITED | n/a | n/a | n/a | N | yes | n/a |
| MV CREDIT PARTNERS LLP | n/a | n/a | n/a | N | yes | n/a |
| NATIXIS DISTRIBUTION, LLC | n/a | n/a | n/a | N | yes | n/a |
| VAUBAN INFRASTRUCTURE PARTNERS | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Boston | Ma | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 1, 2026 | $12B | $12B | 28 | 10 | 2 | n/a | n/a |
| 2024 | Mar 28, 2025 | $9.4B | $9.4B | 21 | 6 | 1 | n/a | n/a |
| 2023 | Mar 26, 2024 | $8.8B | $8.8B | 21 | 6 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $8.6B | $8.6B | 21 | 5 | 1 | n/a | n/a |
| 2021 | Mar 24, 2022 | $12B | $12B | 20 | 6 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $10.0B | $10.0B | 19 | 6 | 1 | n/a | n/a |
| 2019 | Mar 25, 2020 | $11B | $11B | 19 | 6 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $12B | $12B | 19 | 6 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $13B | $13B | 18 | 6 | 1 | n/a | n/a |
| 2016 | Mar 24, 2017 | $12B | $12B | 18 | 6 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $11B | $11B | 19 | 5 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $12B | $12B | 19 | 5 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $13B | $13B | 20 | 5 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $11B | $11B | 18 | 5 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $8.2B | $8.2B | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $12B | $9.4B | 23.1% | $8.6B | 10.5% | 28 | 21 | 2 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BELMONT CAPITAL GROUP | 3 | Sep 30, 2025 | Sep 3, 2025 | LOS ANGELES, CA | Firm absorbed | Other | 100.0% |