Bahl & Gaynor Llc
SEC-registered
Investment Adviser · Large ($10B–$100B)
CRD 106139
· SEC file 801-36951
· Cincinnati, OH
· WWW.BAHL-GAYNOR.COM
☆ Save with Pro
ADV data as of Jul 09, 2026
- Regulatory AUM
- $21.0B
- Discretionary
- $20.7B
- Clients
- 889
- Avg AUM / client
- $23.6M
- Accounts
- 3,251
- Employees
- 79
AUM over time
$3.7B
$21.2B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 09, 2026
Asset allocation (SMA assets by investment type)
as of Jul 09, 2026
Exchange-traded equities
$19.7B
94%
Sovereign bonds
$840M
4%
Cash & equivalents
$420M
2%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 779 | $7.0B | 33.4% |
| Investment companies | 10 | $8.0B | 38.1% |
| Pension and profit sharing plans | 9 | $89.7M | 0.43% |
| Charitable organizations | 74 | $5.6B | 26.8% |
| State or municipal government entities | 3 | $53.4M | 0.25% |
| Insurance companies | 1 | $13.8M | 0.07% |
| Corporations and other businesses | 13 | $190M | 0.91% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Ohio State Bar Foundation EIN 316054093 | Columbus, OH | 12/31/2024 |
| Woodland Cemetery Assoc Of Dayton EIN 310495220 | Dayton, OH | 12/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Roofers Local 149 Pension Fund Roofers Local 149 Pension Fund | 2024 | |
| Sheet Metal Workers Local No. 292 Pension Fund Board Of Trustees, Sheet Metal Workers Local No. 292 Pension Fund | 2024 | |
| Taft Stettinius & Hollister Llp Thrift Savings & Retirement Plan Taft Stettinius & Hollister Llp | 2024 | |
| Frost Brown Todd Llp Retirement Savings Plan Frost Brown Todd Llp | 2024 |
People (39)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gaynor, Vere, Warburton | Director Emeritus | Jul 1990 (36y) | 10% – 25% | |
| Charles Abbott Pettengill | Chairman | Chartered Investment Counselor | May 1997 (29y) | 5% – 10% |
| Scott Davis Rodes | Portfolio Manager | Jun 2001 (25y) | 5% – 10% | |
| Woods, Edward, Allan | Director, Secretary | Sep 2004 (22y) | 5% – 10% | |
| Warden, Glenn, D. | Chief Technology Officer | Apr 2005 (21y) | Less than 5% | |
| Schmitz, John, Brien | Director, Treasurer | Dec 2006 (20y) | 5% – 10% | |
| Hummel, Ellis, Davenport | Director | Jul 2009 (17y) | Less than 5% | |
| Rogers, Tita, Ann | Chief Compliance Officer | Jun 2011 (15y) | Less than 5% | |
| Thomas, Stephanie, Schulze | Institutional Client Managing Director | Jul 2013 (13y) | Less than 5% | |
| Bahl, William, Jeffrey | Director | May 2014 (12y) | 5% – 10% | |
| Puncer, Nicholas, W | Institutional Product Managing Director | Apr 2015 (11y) | Less than 5% | |
| Heekin, Christopher, John | Private Wealth Services Managing Director | Nov 2016 (10y) | Less than 5% | |
| Gade, Kevin, Thomas | Chief Operating Officer | Jul 2018 (8y) | Less than 5% | |
| Kwiatkowski, Peter, Michael | Chief Investment Officer | Jan 2020 (7y) | Less than 5% | |
| Groenke, Robert, Scott | Chief Executive Officer & President | Jun 2020 (6y) | Less than 5% | |
| Armstrong, Jenelle, M | Chief Administrative Officer | Apr 2022 (4y) | Less than 5% | |
| John Patrick Galvin | Managing Director | Jul 2023 (3y) | Less than 5% | |
| Peter Graham Knipe | Managing Director | Jul 2023 (3y) | Less than 5% | |
| Aber, Eric, Michael | Director Of Software & Automation | Nov 2024 (2y) | Less than 5% | |
| Eleanor Kirby Moffat | Registered representative | Aug 2001 (25y) | ||
| Amy Kathleen Henegan | Registered representative | Feb 2024 (2y) | ||
| Andrew John Raia | Registered representative | Feb 2024 (2y) | ||
| Anthony Robert Saba | Registered representative | Feb 2024 (2y) | ||
| Jayme Sue Fox | Registered representative | Feb 2024 (2y) | ||
| Jeffrey David Rosen | Registered representative | Feb 2024 (2y) | ||
| John P Galvin | Registered representative | Feb 2024 (2y) | ||
| Joseph David Beshara | Registered representative | Feb 2024 (2y) | ||
| Kevin Patrick Boman | Registered representative | Feb 2024 (2y) | ||
| Nicolas Werthman | Registered representative | Feb 2024 (2y) | ||
| Ryan Patrick Welch | Registered representative | Feb 2024 (2y) | ||
| Steven Angelo Mazzuchelli | Registered representative | Feb 2024 (2y) | ||
| Neal Young Lee | Registered representative | Feb 2024 (2y) | ||
| Matthew John Carroll | Registered representative | CFP | Jul 2024 (2y) | |
| Kelsey Marie Flannery | Registered representative | CFP | Aug 2024 (2y) | |
| Jeremy David Kees | Registered representative | Jan 2025 (2y) | ||
| William Lawrence Mcgarrie | Registered representative | CFP | Jul 2025 (1y) | |
| Shane Alan Russell | Registered representative | Sep 2025 (1y) | ||
| Aaron Krauss | Registered representative | Sep 2025 (1y) | ||
| Brian Michael Ridgeway | Registered representative | Sep 2025 (1y) |
Undisclosed: 0% – 65% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Roofers Local 149 Pension Fund | Roofers Local 149 Pension Fund | 1,102 | $334M | 06/01/2024 |
| Sheet Metal Workers Local No. 292 Pension Fund | Board Of Trustees, Sheet Metal Workers Local No. 292 Pension Fund | 608 | $166M | 04/01/2024 |
| Taft Stettinius & Hollister Llp Thrift Savings & Retirement Plan | Taft Stettinius & Hollister Llp | 1,468 | $849M | 01/01/2024 |
| Frost Brown Todd Llp Retirement Savings Plan | Frost Brown Todd Llp | 661 | $330M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Foundations & charities (2)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Ohio State Bar Foundation | Public charity | $61.5M | 12/31/2024 |
| Woodland Cemetery Assoc Of Dayton | Public charity | $46.9M | 12/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/09/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- UBS $4.0B (19% of AUM) Jul 2026
- Charles Schwab & Co. $4.0B (19% of AUM) Jul 2026
- U.S. Bancorp Investments, Inc. $2.5B (12% of AUM) Jul 2026
- Fifth Third Bank $1.4B (7% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 09, 2026.
View current Form ADV (SEC/IAPD) ↗