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

Baird Principal Group Management Company II, LLC

Asset manager (funds and pooled vehicles)Milwaukee, WisconsinCRD 292786SEC 801-113194websiteIAPD
Latest filing Sep 4, 2026
First filing on the tape Apr 10, 2018 · 13 filings
SEC status approved since May 14, 2018
RAUM
$81.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$81.7M as of Jun 24, 2026
Mar 26, 2019$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 24, 2026
Mar 26, 20190 then
Employees (5.A)3 as of Jun 24, 2026
Mar 26, 20192 then
Private funds: no history
RAUM +9.5% over the last fiscal year-9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$81.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$81.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$81.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Jameson John Neis · Partner And Investment Committee Membercontrol
        since 01/2018 · owns less than 5%
      • Marie Angela Palmer · Chief Compliance Officercontrol
        since 01/2018 · owns less than 5%
      • Gregory Steven Booth · Investment Committee Member
        since 01/2018 · owns less than 5%
      • Patrick Terrance Maxwell · Investment Committee Member
        since 01/2018 · owns less than 5%
      • George Gordon Pan · Investment Committee Member
        since 01/2018 · owns less than 5%
      • Lee Paul Schultz · Chief Legal Officer
        since 01/2018 · owns less than 5%
      Entity owners
      • Robert W. Baird & Co. Incorporated · Member
        direct · owns 75% or more
      • Baird Financial Corporation · Shareholder
        indirect · owns 75% or more of Robert W. Baird & Co. Incorporated
      • Baird Financial Group, Inc. · Shareholder
        indirect · owns 75% or more of Baird Financial Corporation
      Related persons
      Schedule D 7.A
      Advisers that list Baird Principal Group Management Company II, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Jun 24, 2026 to Sep 4, 2026
      • Succession · false to unset
        Jun 24, 2026 to Sep 4, 2026
      • Discretionary RAUM · $74.6M to $81.7M
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $74.6M to $81.7M
        Mar 31, 2025 to Mar 31, 2026
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $104M to $74.6M
        Mar 27, 2024 to Mar 31, 2025
      • RAUM · $104M to $74.6M
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $111M to $104M
        Oct 19, 2023 to Mar 27, 2024
      • RAUM · $111M to $104M
        Oct 19, 2023 to Mar 27, 2024
      • Discretionary RAUM · $126M to $111M
        Mar 29, 2022 to Mar 31, 2023
      • RAUM · $126M to $111M
        Mar 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · $109M to $126M
        Mar 31, 2021 to Mar 29, 2022
      • RAUM · $109M to $126M
        Mar 31, 2021 to Mar 29, 2022
      • Advisory employees · 1 to 2
        Mar 23, 2020 to Mar 31, 2021
      • State-registered IARs · 0 to 1
        Mar 23, 2020 to Mar 31, 2021
      • Discretionary RAUM · $121M to $109M
        Mar 23, 2020 to Mar 31, 2021
      • RAUM · $121M to $109M
        Mar 23, 2020 to Mar 31, 2021
      • Related bank · false to true
        Mar 23, 2020 to Mar 31, 2021
      • Employees · 2 to 3
        Apr 4, 2019 to Mar 23, 2020
      • Discretionary RAUM · $109M to $121M
        Apr 4, 2019 to Mar 23, 2020
      • RAUM · $109M to $121M
        Apr 4, 2019 to Mar 23, 2020
      • Accounts · 0 to 1
        Apr 10, 2018 to Mar 26, 2019
      • BD registered reps · 0 to 1
        Apr 10, 2018 to Mar 26, 2019
      • Discretionary RAUM · $0 to $109M
        Apr 10, 2018 to Mar 26, 2019
      • RAUM · $0 to $109M
        Apr 10, 2018 to Mar 26, 2019
      Signals
      1 dated events
      • Baird Principal Group Management Company Ii, Llc filed its initial SEC registration (Form ADV)
        Apr 10, 2018 · First SEC registration · fact
      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
      Website
      rwbaird.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      414-765-3500reportedpublic record, Form ADV, Sep 4, 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026