DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Bahl & Gaynor LLC
Latest filing Jul 9, 2026
First filing on the tape Mar 26, 2012 · 56 filings
SEC status approved since Jul 13, 1990
RAUM
$21B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
33%
$7.0B individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$840M
derived; firm RAUM over IAPD count
Employees
79
47 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$21B as of Jul 9, 2026
Mar 26, 2012$3.7B then
HNW client RAUM$7.0B as of Jul 9, 2026
Feb 27, 2018$4.6B then
State-registered IARs (5.B.3)24 as of Jul 9, 2026
Mar 27, 20130 then
Employees (5.A)79 as of Jul 9, 2026
Mar 27, 201317 then
Private funds: no history
RAUM +4.5% over the last fiscal year+6.3% a year over threeIARs 21 to 24
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $840MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $6.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 12.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$8.0B38%
- High-net-worth individuals$7.0B33%
- Charitable organizations$5.6B27%
- Corporations and businesses$190M0.9%
- Pension and profit-sharing plans$89.7M0.4%
- State and municipal entities$53.4M0.3%
- Insurance companies$13.8M0.1%
- Individual clients
- n/areported
- HNW clients
- 779reported
- Pension plan clients
- 9reported
- Charitable clients
- 74reported
- Accounts
- 3,251reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.33 fund_share=0.38 institutional_share=0.28 related_bd=false related_bank=false bd_reps=23.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Charles Abbott PettengillChartered Investment Counselor | Cincinnati, Oh | Aug 7, 2001 | 29 y | 0 |
| Eleanor Kirby Moffat | Cincinnati, Oh | Aug 7, 2001 | 29 y | 0 |
| Scott Davis Rodes | Cincinnati, Oh | Jun 24, 2003 | 25 y | 0 |
| Ryan Patrick Welch | Cincinnati, Oh | Feb 28, 2024 | 21 y | 1 |
| Amy Kathleen Henegan | Cincinnati, Oh | Feb 28, 2024 | 13 y | 0 |
| Nicolas Werthman | East Lansing, Mi | Feb 28, 2024 | 11 y | 2 |
| Andrew John Raia | Elmhurst, Il | Feb 28, 2024 | 23 y | 3 |
| Joseph David Beshara | Tampa, Fl | Feb 28, 2024 | 26 y | 4 |
| John P Galvin | Princeton, Nj | Feb 28, 2024 | 23 y | 2 |
| Jayme Sue Fox | Monument, Co | Feb 28, 2024 | 19 y | 2 |
| Steven Angelo Mazzuchelli | Cincinnati, Oh | Feb 28, 2024 | 18 y | 1 |
| Anthony Robert Saba | Cincinnati, Oh | Feb 28, 2024 | 28 y | 4 |
| Jeffrey David Rosen | Dunwoody, Ga | Feb 28, 2024 | 34 y | 1 |
| Kevin Patrick Boman | Princeton, Nj | Feb 28, 2024 | 17 y | 1 |
| Peter Graham Knipe | Cincinnati, Oh | Feb 28, 2024 | 18 y | 1 |
| Neal Young Lee | Arlington, Va | Feb 29, 2024 | 23 y | 3 |
| John Patrick Galvin | Suwanee, Ga | Mar 1, 2024 | 17 y | 1 |
| Matthew John CarrollCertified Financial Planner | Cincinnati, Oh | Jul 16, 2024 | 12 y | 0 |
| Kelsey Marie FlanneryCertified Financial Planner | Cincinnati, Oh | Aug 7, 2024 | 11 y | 0 |
| Jeremy David Kees | Cedar Grove, Nj | Jan 7, 2025 | 18 y | 3 |
| William Lawrence McgarrieCertified Financial Planner | Brooklyn, Ny | Jul 30, 2025 | 11 y | 1 |
| Shane Alan Russell | Cincinnati, Oh | Sep 23, 2025 | 28 y | 3 |
| Brian Michael Ridgeway | Denver, Co | Sep 24, 2025 | 12 y | 3 |
| Aaron Krauss | Cincinnati, Oh | Sep 24, 2025 | 17 y | 1 |
| Christopher Anthony GuyCertified Financial Planner | Cincinnati, Oh | Jul 29, 2026 | 10 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Chloe Anne Hunt to Virtus Investment Advisers, LLCApr 2, 2025 · Other
Joined, latest
- Brian Michael Ridgeway from Thornburg Investment Management IncSep 24, 2025 · Other
- Aaron Krauss from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 24, 2025 · Wirehouse to independent RIA
- Shane Alan Russell from Capital Client Group, Inc.Sep 23, 2025 · Other
- William Lawrence Mcgarrie from Morgan StanleyJul 30, 2025 · Wirehouse to independent RIA
- Jeremy David Kees from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 7, 2025 · Wirehouse to independent RIA
- John Patrick Galvin from Advisors Asset Management, Inc.Mar 1, 2024 · Other
- Neal Young Lee from Advisors Asset Management, Inc.Feb 29, 2024 · Other
- Jeffrey David Rosen from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- Andrew John Raia from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- Jayme Sue Fox from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- Nicolas Werthman from Flexible Plan Investments LtdFeb 28, 2024 · RIA to RIA
- Kevin Patrick Boman from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- Peter Graham Knipe from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- John P Galvin from Advisors Asset Management, Inc.Feb 28, 2024 · Other
- Joseph David Beshara from Advisors Asset Management, Inc.Feb 28, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from Advisors Asset Management, Inc.Jun 30, 2023 · Princeton, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Eric Aber · Chief Technology Officercontrolsince 11/2024 · owns less than 5%
- M Jenelle Armstrong · Chief Administrative Officercontrolsince 04/2022 · owns less than 5%
- Jeffrey William Bahl · Directorcontrolsince 05/2014 · owns 5% to 10%
- Thomas Kevin Gade · Chief Operating Officercontrolsince 07/2018 · owns less than 5%
- Patrick John Galvin · Managing Directorcontrolsince 07/2023 · owns less than 5%
- Scott Robert Groenke · Chief Executive Officer & Presidentcontrolsince 06/2020 · owns less than 5%
- John Christopher Heekin · Private Wealth Services Managing Directorcontrolsince 11/2016 · owns less than 5%
- Davenport Ellis Hummel · Directorcontrolsince 07/2009 · owns less than 5%
- Graham Peter Knipe · Managing Directorcontrolsince 07/2023 · owns less than 5%
- Michael Peter Kwiatkowski · Chief Investment Officercontrolsince 01/2020 · owns less than 5%
- Abbott Charles Pettengill · Chairmancontrolsince 05/1997 · owns 5% to 10%
- W Nicholas Puncer · Institutional Product Managing Directorcontrolsince 04/2015 · owns less than 5%
- Ann Tita Rogers · Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
- Brien John Schmitz · Director, Treasurercontrolsince 12/2006 · owns 5% to 10%
- Schulze Stephanie Thomas · Institutional Client Managing Directorcontrolsince 07/2013 · owns less than 5%
- D. Glenn Warden · Chief Technology Officercontrolsince 04/2005 · owns less than 5%
- Allan Edward Woods · Director, Secretarycontrolsince 09/2004 · owns 5% to 10%
- Warburton Vere Gaynor · Director Emeritussince 07/1990 · owns 10% to 25%
- Davis Scott Rodes · Portfolio Managersince 06/2001 · owns 5% to 10%
Entity owners
- Bahl & Gaynor Holdings Inc · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 25 | 4 | 0 | ||
| Princeton, Nj | 3 | 0 | 0 | ||
| Hogansville, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Princeton, NJ4 employees
ADV anomalies
11 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 9, 2026SCHMITZ, JOHN, BRIEN (DIRECTOR, TREASURER) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026HUMMEL, ELLIS, DAVENPORT (DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026KNIPE, PETER, GRAHAM (MANAGING DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026PETTENGILL, CHARLES, ABBOTT (CHAIRMAN) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026HEEKIN, CHRISTOPHER, JOHN (PRIVATE WEALTH SERVICES MANAGING DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026BAHL, WILLIAM, JEFFREY (DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026THOMAS, STEPHANIE, SCHULZE (INSTITUTIONAL CLIENT MANAGING DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026WOODS, EDWARD, ALLAN (DIRECTOR, SECRETARY) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026WARDEN, GLENN, D. (CHIEF TECHNOLOGY OFFICER) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026GALVIN, JOHN, PATRICK (MANAGING DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 9, 2026Puncer, Nicholas, W (INSTITUTIONAL PRODUCT MANAGING DIRECTOR) left Schedule A between the filings of 2024-11-27 and 2026-07-09peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Business name · BAHL & GAYNOR INC to BAHL & GAYNOR LLCFeb 9, 2026 to Jul 9, 2026
- Legal name · BAHL & GAYNOR INC to BAHL & GAYNOR LLCFeb 9, 2026 to Jul 9, 2026
- Organization form · Corporation to Limited Liability CompanyFeb 9, 2026 to Jul 9, 2026
- Accounts · 3,201 to 3,251Nov 18, 2025 to Feb 9, 2026
- Advisory employees · 49 to 47Nov 18, 2025 to Feb 9, 2026
- BD registered reps · 21 to 23Nov 18, 2025 to Feb 9, 2026
- Charity clients · 72 to 74Nov 18, 2025 to Feb 9, 2026
- HNW clients · 771 to 779Nov 18, 2025 to Feb 9, 2026
- Employees · 81 to 79Nov 18, 2025 to Feb 9, 2026
- State-registered IARs · 23 to 24Nov 18, 2025 to Feb 9, 2026
- Discretionary RAUM · $21B to $21BNov 18, 2025 to Feb 9, 2026
- HNW RAUM · $7.0B to $7.0BNov 18, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $318M to $310MNov 18, 2025 to Feb 9, 2026
- Pension RAUM · $84.3M to $89.7MNov 18, 2025 to Feb 9, 2026
- RAUM · $21B to $21BNov 18, 2025 to Feb 9, 2026
- Accounts · 3,173 to 3,201Apr 17, 2025 to Nov 18, 2025
- Advisory employees · 45 to 49Apr 17, 2025 to Nov 18, 2025
- BD registered reps · 23 to 21Apr 17, 2025 to Nov 18, 2025
- Charity clients · 74 to 72Apr 17, 2025 to Nov 18, 2025
- Corporate clients · 14 to 13Apr 17, 2025 to Nov 18, 2025
- HNW clients · 753 to 771Apr 17, 2025 to Nov 18, 2025
- Pension plan clients · 11 to 9Apr 17, 2025 to Nov 18, 2025
- Employees · 80 to 81Apr 17, 2025 to Nov 18, 2025
- State-registered IARs · 21 to 23Apr 17, 2025 to Nov 18, 2025
- Discretionary RAUM · $20B to $21BApr 17, 2025 to Nov 18, 2025
- HNW RAUM · $6.5B to $7.0BApr 17, 2025 to Nov 18, 2025
- Non-discretionary RAUM · $353M to $318MApr 17, 2025 to Nov 18, 2025
- Pension RAUM · $137M to $84.3MApr 17, 2025 to Nov 18, 2025
- RAUM · $20B to $21BApr 17, 2025 to Nov 18, 2025
- Financial planning clients · 251-500 to 251-500Feb 26, 2025 to Apr 17, 2025
- Accounts · 3,155 to 3,173Dec 12, 2024 to Feb 26, 2025
- Advisory employees · 46 to 45Dec 12, 2024 to Feb 26, 2025
- BD registered reps · 20 to 23Dec 12, 2024 to Feb 26, 2025
- Charity clients · 76 to 74Dec 12, 2024 to Feb 26, 2025
- Corporate clients · 17 to 14Dec 12, 2024 to Feb 26, 2025
- HNW clients · 750 to 753Dec 12, 2024 to Feb 26, 2025
- Pension plan clients · 10 to 11Dec 12, 2024 to Feb 26, 2025
- Employees · 74 to 80Dec 12, 2024 to Feb 26, 2025
- State-registered IARs · 19 to 21Dec 12, 2024 to Feb 26, 2025
- Discretionary RAUM · $20B to $20BDec 12, 2024 to Feb 26, 2025
Signals
8 dated events
- Chloe Anne Hunt left Bahl & Gaynor Llc for Virtus Investment Advisers, Llc (registered 2025-04-08)Apr 2, 2025 · Advisor changed firm · fact
- Michael Eric Aber (Director Of Software & Automation) appeared on Schedule A of Bahl & Gaynor LlcNov 27, 2024 · Control person joined · fact
- Bahl & Gaynor Llc reported 18 state-registered advisory representatives, up from 0 (2023-11-27 to 2024-03-04)Mar 4, 2024 · Advisor headcount change · derived
- Graham Peter Knipe (Managing Director) appeared on Schedule A of Bahl & Gaynor LlcNov 27, 2023 · Control person joined · fact
- Patrick John Galvin (Managing Director) appeared on Schedule A of Bahl & Gaynor LlcNov 27, 2023 · Control person joined · fact
- 5 advisors left Advisors Asset Management, Inc. (Princeton, NJ) for Bahl & Gaynor LLC within 6 daysJun 30, 2023 · Team lift-out · derived
- M Jenelle Armstrong (Chief Administrative Officer) appeared on Schedule A of Bahl & Gaynor LlcApr 14, 2022 · Control person joined · fact
- Bahl & Gaynor Llc reported RAUM $11.4B, up 26% from $9.1B (2017-03-07 to 2018-02-27)Feb 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 513-287-6100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-287-6110reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-341-1810reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BAHL-&-GAYNOR-INVESTMENT-COUNSELreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BAHL-GAYNOR.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-287-6100reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- bahl-gaynor.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bahl-gaynor.com/institutional/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $840Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026