MA
0000009211
XXXXXXXX
DeVona WrightCottrell
414-298-2482
dwrightcottrell@rwbaird.com
dwrightcottrell@rwbaird.com
cmweber@rwbaird.com
jcaswell@rwbaird.com
ROBERT W. BAIRD & CO. INCORPORATED
000008158
39-6037917
866-00120-00
008-497
000008158
Investment Advisor
801-07571
0000009211
777 E. WISCONSIN AVENUE
MILWAUKEE
WI
53202
414-765-3636
414-298-7800
215 South Washington Square
Suite 150
Lansing
MI
48933
517-371-2607
517-371-2738
300 E. Fifth Avenue
Suite 200
Naperville
IL
60563
800-686-4346
630-848-6450
3060 Peachtree Road
Suite 1815
Atlanta
GA
30305
404-264-2233
404-264-2231
10 W. Broad Street
Suite 2500
Columbus
OH
43215
800-444-1223
614-629-6959
1001 Bay Street
Traverse City
MI
49684
800-793-6379
231-933-6055
Y
PO BOX 672
Legal Dept - 18th Floor
MILWAUKEE
WI
53201
http://www.rwbaird.com
Jeffry
Frank
Freiburger
777 E. Wisconsin Avenue
Milwaukee
WI
53202
414-765-3636
414-298-1745
jfreiburger@rwbaird.com
Charles
Michael
Weber
777 E. Wisconsin Avenue
MIlwaukee
WI
53202
414-298-2474
414-298-7800
cmweber@rwbaird.com
C. H. Coakley & Co.
2151 N. Martin Luther King Drive
Suite 200
Milwaukee
WI
53212
414-372-7000
414-372-7004
General business records that are eligilible for storage off-site.
Thomson Reuters Beta Systems
350 N Sunnyslope Road
Brookfield
WI
53005
262-789-9000
262-789-4848
Client information
Baird Insurance Services, Inc
N
Baird Asia Partners Management Company I, LLC
Y
Securities and Exchange Commission
801-63671
DE
Baird Capital Partners Asia Management I Limited Partnership
Y
Securities and Exchange Commission
801-69238
DE
Baird Capital Partners Management Company III, LLC
Y
Securities and Exchange Commission
801-56539
DE
Baird Capital Partners Management Company IV, LLC
Y
Securities and Exchange Commission
801-64612
DE
Baird Capital Partners Management Company V, LLC
Y
Securities and Exchange Commission
801-69666
DE
Baird Venture Partners Management Company I, LLC
Y
Securities and Exchange Commission
801-57737
DE
Baird Venture Partners Management Company III, LLC
Y
Securities and Exchange Commission
801-68489
DE
Baird Venture Partners Management Company IV, LLC
Y
Securities and Exchange Commission
801-78609
DE
December
WI
12-29-1919
N
2006
59
59
8
0
93
Municipal Entities
Non-profit organizations
Corporations or other businesses
Other
Colleges, Universities, Hospitals
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice Use Of MD
Other
Dissemination and escrow bidding agent services
Y
Y
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Company
Investment Adviser
Insurance company or agency
Real estate broker or dealer
Sponsor or syndicator of limited partnerships
13
Broker-dealer municipal securities dealer or government securities broker or dealer
Robert W. Baird Limited
Robert W. Baird Limited
Y
Y
Y
Financial Conduct Authority
124308
X0
Investment Company
Baird Funds, Inc
Baird Funds, Inc
Y
Y
N
Insurance company or agency
Baird Insurance Services, Inc
Baird Insurance Services, Inc
Y
Y
N
Real estate broker or dealer
Baird Properties, LLC
Baird Properties, LLC
Y
Y
N
Sponsor or syndicator of limited partnerships
Baird Capital Partners Europe Limited
Baird Capital Partners Europe Limited
N
Y
Y
Financial Conduct Authority
150154
X0
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Asia Partners Management Company I, LLC
Baird Asia Partners Management Company I, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Asia Management I Limited Partnership
Baird Capital Partners Asia Management I Limited Partnership
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Management Company III, LLC
Baird Capital Partners Management Company III, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Management Company IV, LLC
Baird Capital Partners Management Company IV, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Management Company V, LLC
Baird Capital Partners Management Company V, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company I, LLC
Baird Venture Partners Management Company I, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company III, LLC
Baird Venture Partners Management Company III, LLC
Y
Y
N
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company IV, LLC
Baird Venture Partners Management Company IV, LLC
Y
Y
N
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Y
N
N
Y
N
N
Y
N
Y
N
N
N
N
N
N
N
N
N
Y
Baird Financial Corporation
N
30-1289533
Shareholder
12-31-1982
E
Y
Paul
Edward
Purcell
Chairman, CEO, Director
01-01-2014
NA
Y
000844873
Jeffry
Frank
Freiburger
Chief Compliance Officer
07-31-2002
NA
Y
001041997
Russell
Paul
Schwei
Chief Operations Officer
06-29-1984
NA
Y
001291551
Patrick
Steven
Lawton
Director
05-31-2004
NA
Y
001007318
William
Walter
Mahler
Director
05-31-2004
NA
Y
001545141
Michael
John
Schroeder
Director
05-31-2004
NA
Y
001483012
Mary
Ellen
Stanek
Director
05-31-2004
NA
Y
002006493
Steven
Gregory
Booth
President, Chief Operating Officer, Director
01-01-2014
NA
Y
002147388
Dominick
Paul
Zarcone
Chief Financial Officer
04-29-2011
NA
Y
002154034
Paul
Lee
Schultz
General Counsel, Secretary
03-11-2013
NA
Y
001965163
Angela
Marie
Palmer
CCO of Investment Advisor
03-24-2014
NA
Y
004915568
Baird Financial Corporation
Baird Holding Company
N
39-2027336
Shareholder
05-31-2001
E
Y
Baird Holding Comapny
Baird Financial Group
N
80-0844225
Shareholder
10-31-2012
E
Y
Baird Financial Corporation
N
30-1289533
Shareholder
12-31-1982
E
Y
Paul
Edward
Purcell
Chairman, CEO, Director
01-01-2014
NA
Y
000844873
Jeffry
Frank
Freiburger
Chief Compliance Officer
07-31-2002
NA
Y
001041997
Russell
Paul
Schwei
Chief Operations Officer
06-29-1984
NA
Y
001291551
Patrick
Steven
Lawton
Director
05-31-2004
NA
Y
001007318
William
Walter
Mahler
Director
05-31-2004
NA
Y
001545141
Michael
John
Schroeder
Director
05-31-2004
NA
Y
001483012
Mary
Ellen
Stanek
Director
05-31-2004
NA
Y
002006493
Steven
Gregory
Booth
President, Chief Operating Officer, Director
01-01-2014
NA
Y
002147388
Dominick
Paul
Zarcone
Chief Financial Officer
04-29-2011
NA
Y
002154034
Paul
Lee
Schultz
Secretary
03-11-2013
NA
Y
001965163
Angela
Marie
Palmer
CCO of Investment Advisor
03-24-2014
NA
Y
004915568
Baird Financial Corporation
Baird Holding Company
N
39-2027336
Shareholder
05-31-2001
E
Y
Baird Holding Comapny
Baird Financial Group
N
80-0844225
Shareholder
10-31-2012
E
Y
9-C2
9-C4
Robert W. Baird & Co. Incorporated
000008058
564739
9-D2
9-D5
Robert W. Baird & Co. Incorporated
000008158
568018
9-D2
Robert W. Baird & Co. Incorporated
000008158
124672
9-D2
Robert W. Baird & Co. Incorporated
000008158
124671
9-D2
9-D5
Robert W. Baird & Co. Incorporated
000008158
124670
9-E2
Robert W. Baird & Co. Incorporated
000008158
1683805
9-E2
Robert W. Baird & Co. Incorporated
000008158
1675034
9-E2
Robert W. Baird & Co. Incorporated
000008158
1670260
9-E2
Robert W. Baird & Co. Incorporated
000008158
1663562
9-E2
Robert W. Baird & Co. Incorporated
000008158
1587243
9-E2
Robert W. Baird & Co. Incorporated
000008158
1548844
9-E2
Robert W. Baird & Co. Incorporated
000008158
1542497
9-E2
Robert W. Baird & Co. Incorporated
000008158
1525274
9-E2
Robert W. Baird & Co. Incorporated
000008158
1516738
9-E2
Robert W. Baird & Co. Incorporated
000008158
1432103
9-E2
Robert W. baird & Co. Incorporated
000008158
1381653
9-E2
Robert W. baird & Co. Incorporated
000008158
1370219
9-E2
Robert W. Baird & Co. Incorporated
000008158
1122160
9-E2
Robert W. Baird & Co. Incorporated
000008158
1061684
9-E2
Robert W. Baird & Co. Incorporated
000008158
564700
9-E2
Robert W. baird & Co. Incorporated
000008158
275239
9-E2
Robert W. Baird & Co. Incorporated
000008158
272886
9-E2
Robert W. Baird & Co. Incorporated
000008158
228624
9-E2
Robert W. Baird & Co. Incorporated
000008158
182344
9-D2
Robert W. baird & Co. Incorporated
000008158
124674
9-E2
Robert W. Baird & Co. Incorporated
000008158
124669
9-E2
Robert W. baird & Co. Incorporated
000008158
124668
9-E2
Robert W. Baird & Co. Incorporated
000008158
124667
9-E2
Robert W. Baird & Co. Incorporated
000008158
124666
Charles M. Weber
Charles M. Weber
Sr. Associate General Counsel
07-11-2014
005001057
N
N
N
N
N
Y
N
Y
Y
N
Y
N
Y
N
N
N
N
N
Y
N