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
Gateway Investment Advisers, LLC
Latest filing Jul 21, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Apr 18, 2008
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
14%
$1.6B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
28
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$12B as of Jul 21, 2026
Mar 30, 2012$8.2B then
HNW client RAUM$1.6B as of Jul 21, 2026
Mar 29, 2018$205M then
State-registered IARs (5.B.3)9 as of Jul 21, 2026
Mar 27, 20134 then
Employees (5.A)28 as of Jul 21, 2026
Mar 27, 201318 then
Private funds: no history
RAUM +23% over the last fiscal year+10% a year over threeIARs 5 to 9offices 1 to 2
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $36.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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$9.5B82%
- High-net-worth individuals$1.6B14%
- State and municipal entities$282M2.4%
- Corporations and businesses$156M1.3%
- Individuals$1.3M0.0%
- Individual clients
- 2reported
- HNW clients
- 294reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 318reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $214M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.14 fund_share=0.82 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Thomas BuckiusChartered Financial Analyst | Cincinnati, Oh | Jan 9, 2024 | 30 y | 2 |
| Daniel Mitchell AshcraftChartered Financial Analyst | Cincinnati, Oh | Jan 9, 2024 | 13 y | 1 |
| Mitchell John TrottaChartered Financial Analyst | Cincinnati, Oh | Jan 9, 2024 | 10 y | 1 |
| Kenneth Howard ToftChartered Financial Analyst | Cincinnati, Oh | Jan 9, 2024 | 18 y | 1 |
| Joseph Carmine Ferrara | Cincinnati, Oh | Feb 22, 2024 | 12 y | 0 |
| Michael Robert Knapke | Cincinnati, Oh | Mar 26, 2024 | 13 y | 1 |
| Dylan Kirk Barlow | Los Angeles, Ca | Sep 3, 2025 | 15 y | 1 |
| Stephen Joseph Solaka | Los Angeles, Ca | Sep 3, 2025 | 20 y | 2 |
| Daniel BeckwithCertified Financial Planner | Cincinnati, Oh | Sep 3, 2025 | 21 y | 4 |
| Mathew David EvansChartered Financial Analyst | Cincinnati, Oh | Nov 13, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Stephen Joseph Solaka from Belmont Capital GroupSep 3, 2025 · Other
- Daniel Beckwith from Belmont Capital GroupSep 3, 2025 · Other
- Dylan Kirk Barlow from Belmont Capital GroupSep 3, 2025 · Other
- Michael Thomas Buckius from Gateway Investment Advisers LPApr 21, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Belmont Capital GroupSep 30, 2025 · Los Angeles, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Michael Buckius · Chief Executive Officer, President, Chief Investment Officer, And Board Membercontrolsince 03/2021 · owns less than 5%
- Lawrence David Giunta · Board Membercontrolsince 08/2009 · owns less than 5%
- T James Orfanos · Board Membercontrolsince 05/2014 · owns less than 5%
- Marie Julie Schmuelling · Chief Operating Officer, Senior Vice President, And Board Membercontrolsince 01/2022 · owns less than 5%
- Norman Eric Ward · Board Membercontrolsince 09/2022 · owns less than 5%
- Mitchell Daniel Ashcraft · Vice President And Board Membersince 09/2022 · owns less than 5%
- Craig Nelson Bickel · Vice President And Chief Information Officersince 02/2008 · owns less than 5%
- Marie Theresa Bridge · Vice President And Chief Financial Officersince 03/2022 · owns less than 5%
- James Maxwell Hopkins · Chief Risk Officer, Counsel, And Compliance Officersince 01/2024 · owns less than 5%
- Robert Michael Knapke · Vice President, Director Of Marketingsince 01/2023 · owns less than 5%
- Howard Kenneth Toft · Senior Vice Presidentsince 02/2013 · owns less than 5%
- Groff Tricia Tomich · General Counsel, Chief Compliance Officer, And Secretarysince 03/2021 · owns less than 5%
Entity owners
- Natixis Investment Managers, LLC · Memberdirect · owns 75% or more
- Bpce · Shareholderindirect · owns 75% or more of Natixis
- Natixis · Shareholderindirect · owns 75% or more of Natixis Investment Managers
- Natixis Investment Managers · Shareholderindirect · owns 75% or more of Natixis Investment Managers Participations 1
- Natixis Investment Managers Participations 1 · Memberindirect · owns 75% or more of Natixis Investment Managers, LLC
- Natixis Investment Managers, LLC · Shareholderindirect · owns 75% or more of Natixis Investment Managers, LLC
Related persons
Schedule D 7.A
- Aew Capital Management LPinvestment adviserbankinvestment companynRAUM $3.0B
- Flexstone Partners Sasinvestment advisern
- Harris | Oakmarkinvestment adviserbanknRAUM $109B
- Investors Mutual Limitedinvestment advisern
- Loomis, Sayles & Company, L.P.investment adviserbankpooled vehicle sponsornRAUM $387B
- Mv Credit Partners Llpinvestment advisern
- Natixis Advisors, LLCinvestment adviserbanknRAUM $109B
- Natixis Distribution, LLCbroker-dealern
- Vauban Infrastructure Partnersinvestment advisern
- Vaughan Nelson Investment Management, L.P.investment adviserbanknRAUM $12B
Advisers that list Gateway Investment Advisers, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 10 | 1 | 0 | ||
| Los Angeles, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Apr 1, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 9.0 (+80.0%) between the annual amendments of 2025-03-28 and 2026-04-01; the peer median change was 0.0% (29 comparable advisers, 100.0th percentile of changes)peers: other advisers, $5B to $20B (29) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 276 to 318Sep 26, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Sep 26, 2025 to Mar 31, 2026
- Corporate clients · 16 to 15Sep 26, 2025 to Mar 31, 2026
- HNW clients · 251 to 294Sep 26, 2025 to Mar 31, 2026
- Employees · 27 to 28Sep 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $11B to $12BSep 26, 2025 to Mar 31, 2026
- HNW RAUM · $1.3B to $1.6BSep 26, 2025 to Mar 31, 2026
- Individual RAUM · $1.4M to $1.3MSep 26, 2025 to Mar 31, 2026
- RAUM · $11B to $12BSep 26, 2025 to Mar 31, 2026
- Wrap assets (manager) · $199M to $214MSep 26, 2025 to Mar 31, 2026
- Accounts · 40 to 276Jun 12, 2025 to Sep 26, 2025
- Advisory employees · 6 to 9Jun 12, 2025 to Sep 26, 2025
- Corporate clients · 7 to 16Jun 12, 2025 to Sep 26, 2025
- HNW clients · 26 to 251Jun 12, 2025 to Sep 26, 2025
- Individual clients · unset to 2.0Jun 12, 2025 to Sep 26, 2025
- Employees · 21 to 27Jun 12, 2025 to Sep 26, 2025
- State-registered IARs · 5 to 9Jun 12, 2025 to Sep 26, 2025
- Other offices · 1 to 2Jun 12, 2025 to Sep 26, 2025
- Discretionary RAUM · $9.4B to $11BJun 12, 2025 to Sep 26, 2025
- HNW RAUM · $217M to $1.3BJun 12, 2025 to Sep 26, 2025
- Individual RAUM · unset to 1427761.0Jun 12, 2025 to Sep 26, 2025
- RAUM · $9.4B to $11BJun 12, 2025 to Sep 26, 2025
- Wrap assets (manager) · $162M to $199MJun 12, 2025 to Sep 26, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 12, 2025
- Accounts · 39 to 40Jun 25, 2024 to Mar 28, 2025
- Corporate clients · 6 to 7Jun 25, 2024 to Mar 28, 2025
- HNW clients · 25 to 26Jun 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $8.8B to $9.4BJun 25, 2024 to Mar 28, 2025
- HNW RAUM · $189M to $217MJun 25, 2024 to Mar 28, 2025
- RAUM · $8.8B to $9.4BJun 25, 2024 to Mar 28, 2025
- Wrap assets (manager) · $159M to $162MJun 25, 2024 to Mar 28, 2025
- Accounts · 46 to 39Jan 8, 2024 to Mar 26, 2024
- Advisory employees · 5 to 6Jan 8, 2024 to Mar 26, 2024
- Corporate clients · 8 to 6Jan 8, 2024 to Mar 26, 2024
- HNW clients · 29 to 25Jan 8, 2024 to Mar 26, 2024
- Financial planning clients · 0 to unsetJan 8, 2024 to Mar 26, 2024
- State-registered IARs · 6 to 5Jan 8, 2024 to Mar 26, 2024
- Discretionary RAUM · $8.6B to $8.8BJan 8, 2024 to Mar 26, 2024
- HNW RAUM · $190M to $189MJan 8, 2024 to Mar 26, 2024
- RAUM · $8.6B to $8.8BJan 8, 2024 to Mar 26, 2024
Signals
4 dated events
- Belmont Capital Group's advisors moved to Gateway Investment Advisers, LLC (Los Angeles, CA): 3 of 3 registered, on the same daySep 30, 2025 · Firm absorbed (people side) · derived
- Gateway Investment Advisers, Llc reported RAUM $8.6B, down 26% from $11.6B (2022-09-27 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Norman Eric Ward (Board Member) appeared on Schedule A of Gateway Investment Advisers, LlcMar 31, 2023 · Control person joined · fact
- Robert Paul Stewart (Chief Executive Officer And Board Member) no longer on Schedule A of Gateway Investment Advisers, Llc (listed 2022-03-24, absent 2022-07-11)Jul 11, 2022 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/GATEWAY-INVESTMENT-ADVISERS-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- GIA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-719-1100reportedpublic record, Form ADV, Jul 21, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026