Asset manager · Milwaukee, WI
Baird Principal Group Management Company II, LLC
SEC-registered investment adviser · CRD 292786 · SEC 801-113194
At a glance
Baird Principal Group Management Company II, LLC is an SEC-registered investment adviser based in Milwaukee, Wisconsin, with $82 million in regulatory assets under management as of its Form ADV filed September 4, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2,376th of 3,218 asset managers and 15,616th of 17,210 SEC-registered advisers by assets.
Main office 414-765-3500rwbaird.comAs filed on Form ADV
- Regulatory AUM
- $82M
- Rank among asset managers
- #2,376 of 3,218
- Rank among all SEC RIAs
- #15,616 of 17,210
- Rank in Wisconsin
- #185 of 195
- Clients
- 1
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 2
Owners and executives on its Form ADV
- Paul Lee SchultzChief Legal Officer
- Gordon G. PanInvestment Committee Member
- Angela Marie PalmerChief Compliance Officer
- John J. NeisPartner and Investment Committee Member
- Steven Gregory BoothInvestment Committee Member
Custody and brokerage
Custodian
Baird Principal Group Management Company II, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Baird Principal Group Management Company II, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Robert W. Baird & Co. Incorporated.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $82M | 100% |
Disciplinary disclosures
Baird Principal Group Management Company II, LLC answers yes to 7 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗rwbaird.com ↗
AtlasMembers
The full record on Baird Principal Group Management Company II, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 467 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Baird Principal Group Management Company II, LLC manage?
Baird Principal Group Management Company II, LLC reports $82 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 4, 2026.
What kind of firm is Baird Principal Group Management Company II, LLC?
Baird Principal Group Management Company II, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Baird Principal Group Management Company II, LLC’s clients?
By assets, its largest client types are investment companies ($82 million, 1 clients).
Does Baird Principal Group Management Company II, LLC have any disciplinary history?
Baird Principal Group Management Company II, LLC answers yes to 7 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Baird Principal Group Management Company II, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-04), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →