Gateway Investment Advisers, LLC (Cincinnati)

Name: Gateway Investment Advisers, LLC
Address: 312 Walnut Street, Cincinnati, OH, 45202 9834
Telephone: 513-719-1100

Gateway Investment Advisers, LLC is a large advisory firm based in Cincinnati. It manages $11.64 billion of regulatory assets for 38 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Florida, and 10 other states.

Gateway Investment Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gateway Investment Advisers: assets under management

The assets under management (AUM) of Gateway Investment Advisers, LLC is $11.64 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 48% since the beginning of its operation, and $16.18 million of the total AUM is attributable to clients outside of the United States.

The firm manages $11.64 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $306.33 million each.

Investments

The firm invests in exchange traded securities the most. They account for 64% of the total AUM. The second-largest asset type is government bonds, which make up 36% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gateway Investment Advisers, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Alan Krantz serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of Robert Alan Krantz is investment companies with 6 clients and $9.83 billion of assets under management. Among the 10 most similar advisory firms, Gateway Investment Advisers has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $10.02 billion for 32 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Gateway Investment Advisers also advises several private funds.

Careers at Gateway Investment Advisers, LLC

The company employs 19 people that are either part- or full-time employees. 32 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Alan Krantz has been acting as President since 1 Feb 2008. Julie Marie Schmuelling joined the executive team most recently as the Vice President And Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Donna Marie Brown	General counsel, chief compliance officer, and secretary	1 Feb 2008	Other	1311559
Gary Howard Goldschmidt	Chief operating officer, chief financial officer, senior vice president and board member	1 Feb 2008	Other	2441391
L.P. Natixis Global Asset Management	Member	1 Feb 2008	75% - 100%	04-3398261
Nelson Craig Bickel	Vice president and chief information officer	1 Feb 2008	Other	5734730
L.P. Natixis Investment Managers	Member	1 Feb 2008	75% - 100%	04-3398261
James Patrick Rogers	President, chief executive officer and board member	1 Feb 2008	Other	1873563
Geoffrey Keenan	Executive vice president and board member	1 Feb 2008	Other	2252083
Harry Ernest Merriken	Senior vice president	1 Feb 2008	Other	2297101
Paul Robert Stewart	Senior vice president, chief investment officer, and board member	1 Feb 2008	Other	2864959
Robert Alan Krantz	Director	1 Feb 2008	Other	1398010
Duncan Borger Ellerton Wilkinson	Director	1 Feb 2008	Other	4693961
Walter Gene Sall	Chairman	1 Feb 2008	Other	1773392
Kenneth Howard Toft	Vice president	1 Feb 2008	Other	1977034
Michael Thomas Buckius	Senior vice president	1 Jun 2008	Other	2281417
David Lawrence Giunta	Board member	1 Aug 2009	Other	2290469
Harry Ernest Merriken	Senior vice president & chief investment strategist	1 Apr 2011	Other	2297101
Paul Robert Stewart	President, chief executive officer and board member	1 Feb 2013	Other	2864959
Michael Thomas Buckius	Chief investment officer, senior vice president and board member	1 Feb 2013	Other	2281417
Kenneth Howard Toft	Senior vice president	1 Feb 2013	Other	1977034
Beverly M Bearden	Board member	1 May 2014	Other	4473184
Dennis David Jilek	Chief investment strategist	1 Jan 2015	Other	3115934
Julie Marie Schmuelling	Vice president and chief financial officer	1 Jan 2017	Other	2751965

Indirect Owners

The SEC currently registers 18 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Natixis U.S. Holdings	Limited partner	1 Oct 2000	75% - 100%	foreign entity
Llc Natixis Global Asset Management	General partner	1 Oct 2000	Other	foreign entity
Llc Natixis Investment Managers	General partner	1 Oct 2000	Other	13-4146162
Natixis Global Asset Management Corporation	Limited partner	1 Oct 2000	75% - 100%	foreign entity
Natixis Global Asset Management	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Investment Managers	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Investment Managers Participations 1	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Global Asset Management	Shareholder (series a preferred stock)	1 Sep 2006	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1	Shareholder (series a preferred stock)	1 Sep 2006	75% - 100%	foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce)	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Banque Federale Des Banques Populaires	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Natixis	Shareholder	1 Nov 2006	75% - 100%	foreign entity
Nxbp 1	Shareholder	1 Jun 2007	75% - 100%	foreign entity
Natixis Participations 1	Shareholder	1 Jun 2007	75% - 100%	foreign entity
Bpce	Shareholder	1 Jul 2009	50% - 75%	foreign entity
Bcpe	Shareholder	1 Jul 2009	50% - 75%	foreign entity
Natixis	Shareholder	1 Sep 2011	75% - 100%	foreign entity

Based in Cincinnati

The principal office where Gateway Investment Advisers, LLC performs its advisory services is located at 312 Walnut Street, Cincinnati, OH 45202 9834, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 513-719-1100 or by fax 513-719-1199. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at gia.com.