Nationwide Fund Advisors
- Regulatory AUM
- $83.1B
- Discretionary
- $83.1B
- Clients
- 129
- Avg AUM / client
- $644M
- Accounts
- 129
- Employees
- 129
AUM over time
Annual snapshots from Form ADV filings · as of Feb 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 110 | $79.6B | 95.7% |
| Pooled investment vehicles (non-investment companies) | 19 | $3.5B | 4.26% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Saxton & Stump, Llc 401(k) Profit Sharing Plan Saxton & Stump, Llc | 2024 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cummings, Leland, Thomas | Senior Vice President | Jan 2008 (19y) | Less than 5% | |
| Graham, Christopher, Charlton | Chief Investment Officer | Aug 2016 (10y) | Less than 5% | |
| Rimes, Stephen, Randolph | Vice President & General Counsel & Assistant Secretary | Dec 2019 (7y) | Less than 5% | |
| Grether, Kevin, Douglas | Vice President & Chief Compliance Officer | Dec 2021 (5y) | Less than 5% | |
| Jestice, Kevin Thomas | President | Feb 2023 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nationwide Financial Services, Inc. | Corporate Parent | Apr 2007 | A | 75% or more |
| Wilmington Trust | Sole Trustee | Feb 1999 | A | Less than 5% |
| Nationwide Corporation | Shareholder | Nov 1996 | B | ≈ 56.25% – 100% via Nationwide Financial Services, Inc. |
| Nationwide Mutual Insurance Company | Shareholder | May 1998 | B | ≈ 42.19% – 100% via Nationwide Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Nationwide Corporation: 75% – 100% of Nationwide Financial Services, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Nationwide Mutual Insurance Company: 75% – 100% of Nationwide Corporation × 75% – 100% of Nationwide Financial Services, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
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 (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Saxton & Stump, Llc 401(k) Profit Sharing Plan | Saxton & Stump, Llc | 155 | $21.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/12/2026 | 1.36 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: INSURANCE COMMISSIONER BELIEVES CONTROL AFFILIATE'S SALES PROCESS DID NOT INCLUDE AN ADEQUATE INDEPENDENT REVIEW OF THE RECOMMENDATIONS OF CONTROL AFFILIATE'S ANNUITIES BY THE NON-INSURANCE LICENSED INVESTMENT ADVISER OR AN ADEQUATE INDEPENDENT ANALYSIS OF CONSUMER'S INSURANCE NEEDS OR FINANCIAL OBJECTIVES AT THE TIME OF THE TRANSACTION. Status: Final Sanction Detail: CONTROL AFFILIATE TO PAY $150,000.00 PURSUANT TO INSTRUCTIONS OF INVOICE TO BE SENT BY THE DEPARTMENT OF INSURANCE. CONTROL AFFILIATE AGREED TO REIMBURSE CONSUMER FOR SURRENDER CHARGES IN THE AMOUNT OF $14,342.82. Summary: INSURANCE COMMISSIONER BELIEVES CONTROL AFFILIATE'S SALES PROCESS DID NOT INCLUDE AN ADEQUATE INDEPENDENT REVIEW OF THE RECOMMENDATIONS OF CONTROL AFFILIATE'S ANNUITIES BY THE NON-INSURANCE LICENSED INVESTMENT ADVISER OR AN ADEQUATE INDEPENDENT ANALYSIS OF CONSUMER'S INSURANCE NEEDS OR FINANCIAL OBJECTIVES AT THE TIME OF THE TRANSACTION. CONTROL AFFILIATE TO PAY $150,000.00 PURSUANT TO INSTRUCTIONS OF INVOICE TO BE SENT BY THE DEPARTMENT OF INSURANCE. CONTROL AFFILIATE AGREED TO REIMBURSE CONSUMER FOR SURRENDER CHARGES IN THE AMOUNT OF $14,342.82.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 12, 2026.
View current Form ADV (SEC/IAPD) ↗