Bailard, Inc.
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 110550
· SEC file 801-8562
· Foster City, CA
· www.linkedin.com
☆ Save with Pro
ADV data as of May 29, 2026
- Regulatory AUM
- $7.6B
- Discretionary
- $7.5B
- Clients
- 1,137
- Avg AUM / client
- $6.6M
- Accounts
- 2,825
- Employees
- 83
AUM over time
$1.8B
$7.6B
Mar 2012
Mar 2026
Annual snapshots from Form ADV filings · as of May 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 237 | $110M | 1.46% |
| High net worth individuals | 831 | $5.3B | 69.6% |
| Investment companies | 3 | $62.3M | 0.82% |
| Pooled investment vehicles (non-investment companies) | 2 | $681M | 9.0% |
| Pension and profit sharing plans | 3 | $16.0M | 0.21% |
| Charitable organizations | 49 | $389M | 5.14% |
| Other investment advisers | 1 | $32.6M | 0.43% |
| Sovereign wealth funds and foreign official institutions | 1 | $982M | 13.0% |
| Corporations and other businesses | 10 | $21.8M | 0.29% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jun 2024 · $20.2M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Bailard Emerging Opportunities Fund I, L.P. | Hedge Fund | Delaware | $20.2M | 54 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Carpenters Pension Trust Fund Of St. Louis Trustees Of Carpenters Benefit Plans Of St. Louis | St. Louis, MO | 2024 |
| Purity Cylinder Gases, Inc. Profit Sharing And 401(k) Plan Purity Cylinder Gases, Inc. | 2024 | |
| Norris, Inc. Pension Plan Norris, Inc. | 2024 | |
| S.E.I.U. National Industry Pension Fund Board Of Trustees Of The S.E.I.U. National Industry Pension Fund | Washington, DC | 2024 |
| Seiu Affiliates Officers And Employees Pension Plan Bd Of Trustees Seiu Affiliates Officers And Employees Pension Plan | Washington, DC | 2024 |
| Pension Plan For Employees Of The Service Employee Int'l Union Service Employees Intl Union | 2024 | |
| Asset Marketing Services 401(k) Retirement Plan Ams Holdings, Llc | 2024 | |
| Fremont Group Retirement Plan Fremont Group Management, Llc. | 2024 | |
| Nossaman Llp Profit Sharing & Retirement Savings Plan Nossaman Llp | 2024 | |
| The Cooper Companies, Inc. Retirement Income Plan The Cooper Companies, Inc. | 2024 | |
| Construction Industry Laborers Pension Fund Construction Industry Laborers Pension Fund | 2024 |
People (51)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kaiser, Ronald, Walter | Director, Bb&K Holdings | Nov 1988 (38y) | Less than 5% | |
| O'connell, Dennis, J. | Director, Bb&K Holdings | Nov 1998 (28y) | Less than 5% | |
| Eric Paul Leve | Evp; Chief Investment Officer (Since 3/2013); Director, Bailard General Partners I, Inc.(Since 05/2022) | CFA | Jul 2001 (25y) | Less than 5% |
| Sonya Thadhani Mughal | Chief Executive Officer; Director Of Bailard, Inc, Bb&K Holdings, And Bailard General Partners I, Inc. | CFA | Jul 2001 (25y) | Less than 5% |
| Hill, Peter, Molyneux | Director, Bb&K Holdings | Jan 2008 (19y) | Less than 5% | |
| Michael John Faust | Evp; President, Wealth Management; Director, Bailard, Inc. (Since 05/2022) | CFA | Oct 2008 (18y) | Less than 5% |
| Sparks, Burnice, Edward | Director, Bb&K Holdings | Jun 2011 (15y) | Less than 5% | |
| Branaka, Marlis | Director, Bb&K Holdings | Dec 2011 (15y) | Less than 5% | |
| Sargent, Preston, Robert | Executive Vice President, Real Estate | Aug 2014 (12y) | Less than 5% | |
| Wu, Fuju | Senior Vp, Finance And Operations Of Bailard, Inc.; Treasurer Of Bailard, Inc. And Bb&K Holdings | Aug 2015 (11y) | Less than 5% | |
| Blaine Carroll Townsend | Executive Vice President, Director Of Srii | Sep 2016 (10y) | Less than 5% | |
| Fleischer, Pavita | Chief Compliance Officer | Jun 2020 (6y) | Less than 5% | |
| Wright, Brenda, L | Director, Bb&K Holdings | Aug 2023 (3y) | Less than 5% | |
| Andrea Mohr Gandolfo | Registered representative | Jul 1997 (29y) | ||
| Dana Merrill Scheer | Registered representative | CFP CFA | Jul 1997 (29y) | |
| Diana Lea Dessonville | Registered representative | Jul 1997 (29y) | ||
| Enrique Villarroel Fermin | Registered representative | CFP | Jul 1997 (29y) | |
| Kimberly Murray Aquino | Registered representative | CFP | Jul 2001 (25y) | |
| Romy Slatt Pavolotsky | Registered representative | CFP | Jul 2001 (25y) | |
| Scott Eric Kidd | Registered representative | CFP | Jul 2001 (25y) | |
| Thomas John Mudge | Registered representative | CFA | Jul 2001 (25y) | |
| Glenn Anthony Davis | Registered representative | CFA | Feb 2005 (21y) | |
| David Harrison Smith | Registered representative | CFA | Sep 2009 (17y) | |
| Erin Marie Randolph | Registered representative | Jul 2011 (15y) | ||
| Linda Beck | Registered representative | CFA | Feb 2013 (13y) | |
| Christopher James Moshy | Registered representative | May 2015 (11y) | ||
| Daniel Joseph Mckellar | Registered representative | CFA | May 2015 (11y) | |
| Bradley Phillip Larson | Registered representative | CFP | Sep 2015 (11y) | |
| Francois Marcoux | Registered representative | CFA | Sep 2016 (10y) | |
| Jonathan Lyons Manchester | Registered representative | CFP CFA | Sep 2016 (10y) | |
| Austin Gary Lastinger | Registered representative | CFP | Mar 2017 (9y) | |
| Stacy Pearl Dauber | Registered representative | CFP | Aug 2017 (9y) | |
| Osman Tansu Akgun | Registered representative | CFA | Jun 2019 (7y) | |
| Benjamin Kane Lathrop | Registered representative | Oct 2019 (7y) | ||
| Lena M Mcquillen | Registered representative | CFP | Jan 2021 (6y) | |
| Joanne Lee Howard | Registered representative | CFA | Mar 2021 (5y) | |
| David Prestwich Jones | Registered representative | CFP | Sep 2021 (5y) | |
| Suanne Marie Ramar | Registered representative | CFA | Sep 2021 (5y) | |
| Stephanie Wo Roncal | Registered representative | Jan 2022 (5y) | ||
| Annalise Mae Durante | Registered representative | Jan 2023 (4y) | ||
| Noah Andrew Holmes | Registered representative | Feb 2023 (3y) | ||
| Robert Joseph Gregory Mendoza | Registered representative | Jul 2023 (3y) | ||
| Jeremiah Record Wager Smith | Registered representative | Oct 2023 (3y) | ||
| Ryan W Cole | Registered representative | CFP | Jan 2024 (3y) | |
| Ryan S Chavez | Registered representative | CFP | Apr 2024 (2y) | |
| Alexandra Terese Labagh | Registered representative | May 2024 (2y) | ||
| Mikhail Drew Saliba | Registered representative | CFP | Jun 2024 (2y) | |
| Irene Liando | Registered representative | CFA | Aug 2024 (2y) | |
| Mary Modesta Bersot | Registered representative | CFA | Apr 2025 (1y) | |
| Nicholas Joseph Risser | Registered representative | CFP | Apr 2025 (1y) | |
| Abigail Victoria Hsu | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Bb&K Holdings, Inc. | Parent Company Of Applicant | Nov 1988 | A | 75% or more |
Undisclosed: 0% – 25% 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.
Private funds (1, $20.2M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Bailard Emerging Opportunities Fund I, L.P. | Hedge Fund | $20.2M | $1.0M | 54 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (11)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Carpenters Pension Trust Fund Of St. Louis | Trustees Of Carpenters Benefit Plans Of St. Louis | 11,875 | $3.4B | 05/01/2024 |
| Purity Cylinder Gases, Inc. Profit Sharing And 401(k) Plan | Purity Cylinder Gases, Inc. | 196 | $70.4M | 01/01/2024 |
| Norris, Inc. Pension Plan | Norris, Inc. | 9 | $12.1M | 01/01/2024 |
| S.E.I.U. National Industry Pension Fund | Board Of Trustees Of The S.E.I.U. National Industry Pension Fund | 98,200 | $1.7B | 01/01/2024 |
| Seiu Affiliates Officers And Employees Pension Plan | Bd Of Trustees Seiu Affiliates Officers And Employees Pension Plan | 9,065 | $1.6B | 01/01/2024 |
| Pension Plan For Employees Of The Service Employee Int'l Union | Service Employees Intl Union | 3,113 | $371M | 01/01/2024 |
| Asset Marketing Services 401(k) Retirement Plan | Ams Holdings, Llc | 241 | $25.6M | 01/01/2024 |
| Fremont Group Retirement Plan | Fremont Group Management, Llc. | 175 | $103M | 01/01/2024 |
| Nossaman Llp Profit Sharing & Retirement Savings Plan | Nossaman Llp | 183 | $120M | 01/01/2024 |
| The Cooper Companies, Inc. Retirement Income Plan | The Cooper Companies, Inc. | 1,382 | $161M | 01/01/2024 |
| Construction Industry Laborers Pension Fund | Construction Industry Laborers Pension Fund | 5,147 | $1.1B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.26 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
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $4.8B (64% of AUM) May 2026
- BNY Mellon $982M (13% of AUM) May 2026
- State Street $485M (14% of AUM) Jun 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: May 29, 2026.
View current Form ADV (SEC/IAPD) ↗