Asset manager · Cincinnati, OH
Gateway Investment Advisers, LLC
SEC-registered investment adviser · CRD 146681 · SEC 801-68972
At a glance
Gateway Investment Advisers, LLC is an SEC-registered investment adviser based in Cincinnati, Ohio, with $11.6 billion in regulatory assets under management as of its Form ADV filed July 21, 2026. Its largest client group by assets is investment companies, and it reports 296 individual clients. By Form ADV it is a asset manager, ranked 482nd of 3,218 asset managers and 1,239th of 17,210 SEC-registered advisers by assets.
Main office 513-719-1100gia.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $12B
- Rank among asset managers
- #482 of 3,218
- Rank among all SEC RIAs
- #1,239 of 17,210
- Rank in Ohio
- #22 of 403
- Individual clients
- 296
- High-net-worth clients
- 294
- Accounts
- 318
- Discretionary
- 100% of AUM
- Employees
- 28
- Advisory staff
- 10
- Offices
- 3
Owners and executives on its Form ADV
- Tricia G. TomichGeneral Counsel, Chief Compliance Officer, and Secretary
- Julie M. SchmuellingPresident, Chief Operating Officer, and Board Member
- Michael T. BuckiusChief Executive Officer, Chief Investment Officer, Board Member, and Portfolio Manager
- Kenneth H. ToftSenior Vice President and Portfolio Manager
- David L. GiuntaBoard Member
- James T OrfanosBoard Member
- Theresa M. BridgeVice President and Chief Financial Officer
- Daniel M. AshcraftSenior Vice President, Board Member, and Portfolio Manager
- Michael R. KnapkeVice President, Director of Marketing
- Eric N. WardBoard Member
- Maxwell J. HopkinsChief Risk Officer, Assistant General Counsel, and Compliance Officer
- Stephen J. SolakaSenior Vice President and Portfolio Manager
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Natixis Distribution, LLC.
- Natixis Distribution, LLC ↗CRD 34754
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 6 | $9.5B | 82% |
| High-net-worth individuals | 294 | $1.6B | 14% |
| State or municipal government entities | 1 | $282M | 2% |
| Corporations or other businesses | 15 | $156M | 1% |
| Individuals | 2 | $1M | <1% |
Disciplinary disclosures
Gateway Investment Advisers, LLC answers yes to 3 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 individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗gia.com ↗
AtlasMembers
The full record on Gateway Investment Advisers, 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, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 518 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 15 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Gateway Investment Advisers, LLC manage?
Gateway Investment Advisers, LLC reports $11.6 billion in regulatory assets under management across 318 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 21, 2026.
What kind of firm is Gateway Investment Advisers, LLC?
Gateway Investment Advisers, 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. It reports a bank or thrift among its related persons.
Who are Gateway Investment Advisers, LLC’s clients?
By assets, its largest client types are investment companies ($9.5 billion, 6 clients); high-net-worth individuals ($1.6 billion, 294 clients); state or municipal government entities ($282 million, 1 clients).
Does Gateway Investment Advisers, LLC have any disciplinary history?
Gateway Investment Advisers, LLC answers yes to 3 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 Gateway Investment Advisers, 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 (2026-07-21), 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 →