MA/A
0000009211
XXXXXXXX
Charley Weber
414-298-2474
cmweber@rwbaird.com
cmweber@rwbaird.com
lgamsky@rwbaird.com
ROBERT W. BAIRD & CO. INCORPORATED
8158
Baird
39-6037917
866-00120-00
867-00134
008-497
8158
801-7571
8158
Investment Advisor
801-07571
0000009211
777 E. WISCONSIN AVENUE
MILWAUKEE
WI
53202
414-765-1461
414-298-1745
Add
124 West Allegan Street
Suite 2200
Lansing
MI
48933
517-371-2607
517-371-2738
Add
7755 3rd Street North
Suite 400
Oakdale
MN
55128
800-792-2473
Add
1331 Lamar Street
Suite 1360
Houston
TX
77010
800-711-6126
713-230-6158
Add
500 W. Jefferson Street
Suite 700
Louisville
KY
40202
800-444-1854
502-588-4154
Add
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
Charles
Michael
Weber
777 E. Wisconsin Avenue
Milwaukee
WI
53202
414-298-2474
414-298-7800
cmweber@rwbaird.com
Charles
Michael
Weber
777 E. Wisconsin Avenue
MIlwaukee
WI
53202
414-298-2474
414-298-7800
cmweber@rwbaird.com
Add
Refinitiv/London Stock Exchange Group
350 N. Sunnyslope Road
Brookfield
WI
53005
262-789-9000
262-789-3372
Client information
Add
Schwab Compliance Technologies Inc.
150 South Wacker Drive
Suite 200
Chicago
IL
60606
877-553-1961
877-290-9508
Personal trading and other compliance records.
Add
Broadridge Investor Communication Services
51 Mercedes Way
Edgewood
NY
11717
800-353-0103
631-254-7670
Proxy records for advisory accounts and client disclosure documents.
Add
Iron Mountain
12021 W. Bluemound Road
Wauwatosa
WI
53226
800-899-4766
800-934-5348
Electronic files.
Baird Insurance Services, Inc.
N
Baird Capital Partners Asia Management I Limited Partnership
Y
Securities and Exchange Commission
801-69238
DE
Baird Capital Partners Management Company V, LLC
Y
Securities and Exchange Commission
801-69666
DE
Baird Venture Partners Management Company I, L.L.C.
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
Baird Principal Group Management Company I, LLC
Y
Securities and Exchange Commission
801-105476
DE
Baird Principal Group Management Company II, LLC
Y
Securities and Exchange Commission
801-113194
DE
Baird Venture Partners Management Company V, LLC
Y
Securities and Exchange Commission
801-114317
DE
Baird Capital Global Fund Management I LP
Y
Securities and Exchange Commission
801-107887
E9
Baird Capital Global Fund Management II LLC
Y
Securities and Exchange Commission
801-119422
DE
Baird Financial Corporation
N
Baird Financial Group, Inc.
N
December
WI
12-27-1919
N
3604
60
60
4
0
209
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
Advice On Selection
Other
Dissemination and escrow bidding agent services.
Y
Y
Y
Y
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Commodity pool operator
Trust Company
Insurance company or agency
Pension consultant
Real estate broker or dealer
Sponsor or syndicator of limited partnerships
23
Add
Insurance company or agency
Baird Insurance Services, Inc.
Baird Insurance Services, Inc.
Y
N
N
Add
Real estate broker or dealer
Baird Properties, LLC
Baird Properties, LLC
N
Y
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Europe Limited
Baird Capital Partners Europe Limited
N
Y
Y
United Kingdom - Financial Conduct Authority
150154
X0
Add
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
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Partners Management Company V, LLC
Baird Capital Partners Management Company V, LLC
Y
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company I, L.L.C.
Baird Venture Partners Management Company I, L.L.C.
Y
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company III, LLC
Baird Venture Partners Management Company III, LLC
Y
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company IV, LLC
Baird Venture Partners Management Company IV, LLC
Y
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Principal Group Management Company I, LLC
Baird Principal Group Management Company I, LLC
Y
N
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Robert W. Baird Limited
Robert W. Baird Limited
N
Y
Y
United Kingdom - Financial Conduct Authority
124308
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Robert W. Baird GMBH
Robert W. Baird GMBH
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Baird Investment Advisors Co. Ltd.
Baird Investment Advisors Co. Ltd.
N
Y
N
Add
Investment Adviser
Commodity pool operator
Sponsor or syndicator of limited partnerships
Baird Capital Global Fund Management I LP
Baird Capital Global Fund Management I LP
Y
N
N
Add
Pension consultant
BFinance UK Limited
BFinance UK Limited
N
Y
Y
United Kingdom - Financial Conduct Authority
X0
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Venture Partners Management Company V, LLC
Baird Venture Partners Management Company V, LLC
Y
N
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Principal Group Management Company II, LLC
Baird Principal Group Management Company II, LLC
Y
N
N
Amend
Trust Company
Baird Trust Company
Baird Trust Company
N
Y
N
Add
Investment Adviser
Strategas Asset Management , LLC
Strategas Asset Management, LLC
N
Y
N
Add
Investment Adviser
RiverFront Investment Group, LLC
RiverFront Investment Group, LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Strategas Securities, LLC
Strategas Securities, LLC
N
Y
N
Add
Commodity pool operator
Sponsor or syndicator of limited partnerships
Greenhouse Fund GP LLC
Greenhouse Fund GP LLC
N
Y
N
Add
Investment Adviser
Commodity pool operator
Sponsor or syndicator of limited partnerships
Greenhouse Funds LLLP
Greenhouse Funds LLLP
N
Y
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
Baird Capital Global Fund Management II LLC
Baird Capital Global Fund Management II LLC
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Section 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted,
The following additional office is added:
300 E. Fifth Avenue, Suite 200, Naperville IL, 60563,
Telephone Number: 800-686-4346
Fax Number: 630-848-6450
Section 1-I Location of Books and Records,
The following two additional locations are added to Section 1-I,
Name of entity: Global Relay Communications Inc.
Address: 220 Cambie Street, 2nd Floor, Vancouver, BC, Canada V6B 2M9
Telephone number: 866-484-6630
This is a third-party unaffiliated record keeper.
Brief description of books and records kept at this location: Emails are captured and retained in Global Relay.
Name of entity: Salesforce Inc.
Address: The Landmark @ One Market, Suite 300, San Francisco, CA, United States 94105
Telephone number: 415-901-7000
Fax number 415-901-7040
This is a third-party unaffiliated record keeper.
Brief description of books and records kept at this location: Dates, financial statements, correspondence, etc. from issuers, bond counsel, underwriter's counsel to demonstrate compliance with SEC Rule 15c2-12.
N
N
N
N
N
Y
N
Y
Y
N
Y
N
N
Y
N
Y
N
Y
N
N
N
N
N
N
N
Y
Baird Financial Corporation
N
30-1289533
Shareholder
12-31-1982
E
Y
Jeffry
Frank
Freiburger
Chief Compliance Officer of Baird
07-31-2002
NA
Y
1041997
Patrick
Steven
Lawton
Director
05-31-2004
NA
Y
1007318
Michael
John
Schroeder
Director
05-31-2004
NA
Y
1483012
Mary
Ellen
Stanek
Director
05-31-2004
NA
Y
2006493
Steven
Gregory
Booth
Chairman, President and CEO
01-01-2016
NA
Y
2147388
Paul
Lee
Schultz
General Counsel, Secretary
03-11-2013
NA
Y
1965163
Terrance
Patrick
Maxwell
Chief Financial Officer, Director
03-10-2015
NA
Y
1463158
Laura
K
Thurow
Chief Operations Officer
07-18-2018
NA
Y
3193702
Baird Financial Corporation
Baird Financial Group, Inc.
N
80-0844225
Shareholder
12-31-2020
E
Y
Baird Financial Corporation
N
30-1289533
Shareholder
12-31-1982
E
Y
Delete
Jeffry
Frank
Freiburger
Chief Compliance Officer of Baird
07-31-2002
NA
Y
1041997
Patrick
Steven
Lawton
Director
05-31-2004
NA
Y
1007318
Michael
John
Schroeder
Director
05-31-2004
NA
Y
1483012
Mary
Ellen
Stanek
Director
05-31-2004
NA
Y
2006493
Steven
Gregory
Booth
Chairman, President and CEO
01-01-2016
NA
Y
2147388
Paul
Lee
Schultz
General Counsel, Secretary
03-11-2013
NA
Y
1965163
Terrance
Patrick
Maxwell
Chief Financial Officer, Director
03-10-2015
NA
Y
1463158
Laura
K
Thurow
Chief Operations Officer
07-18-2018
NA
Y
3193702
NewAdd
Christa
Lynn
Graverson
Chief Compliance Officer of Baird
01-01-2022
NA
Y
4912961
Baird Financial Corporation
Baird Financial Group, Inc.
N
80-0844225
Shareholder
12-31-2020
E
Y
9-C2
9-C4
Robert W. Baird & Co. Incorporated
8058
564739
9-D2
9-D5
Robert W. Baird & Co. Incorporated
8158
568018
9-D2
Robert W. Baird & Co. Incorporated
8158
124672
9-D2
Robert W. Baird & Co. Incorporated
8158
124671
9-D2
9-D5
Robert W. Baird & Co. Incorporated
8158
124670
9-E2
Robert W. Baird & Co. Incorporated
8158
1683805
9-E2
Robert W. Baird & Co. Incorporated
8158
1675034
9-E2
Robert W. Baird & Co. Incorporated
8158
1670260
9-E2
Robert W. Baird & Co. Incorporated
8158
1663562
9-E2
Robert W. Baird & Co. Incorporated
8158
1587243
9-E2
Robert W. Baird & Co. Incorporated
8158
1548844
9-E2
Robert W. Baird & Co. Incorporated
8158
1542497
9-E2
Robert W. Baird & Co. Incorporated
8158
1525274
9-E2
Robert W. Baird & Co. Incorporated
8158
1516738
9-E2
Robert W. Baird & Co. Incorporated
8158
1432103
9-E2
Robert W. baird & Co. Incorporated
8158
1381653
9-E2
Robert W. baird & Co. Incorporated
8158
1370219
9-E2
Robert W. Baird & Co. Incorporated
8158
1122160
9-E2
Robert W. Baird & Co. Incorporated
8158
1061684
9-E2
Robert W. Baird & Co. Incorporated
8158
564700
9-E2
Robert W. baird & Co. Incorporated
8158
275239
9-E2
Robert W. Baird & Co. Incorporated
8158
272886
9-E2
Robert W. Baird & Co. Incorporated
8158
228624
9-E2
Robert W. Baird & Co. Incorporated
8158
182344
9-D2
Robert W. baird & Co. Incorporated
8158
124674
9-E2
Robert W. Baird & Co. Incorporated
8158
124669
9-E2
Robert W. baird & Co. Incorporated
8158
124668
9-E2
Robert W. Baird & Co. Incorporated
8158
124667
9-E2
Robert W. Baird & Co. Incorporated
8158
124666
9-E2
Robert W. Baird & Co. Incorporated
8158
1719469
9-C2
9-C4
9-C5
Robert W. Baird & Co. Incorporated
8158
1787423
9-E2
Robert W. Baird & Co. Incorporated
8158
1877166
9-E2
Robert W. Baird & Co. Incorporated
8158
1895791
9-C2
9-C4
9-C5
Robert W. Baird & Co. Incorporated
8158
1898992
1
9-E2
9-E4
Robert W. Baird & Co. Incorporated
8158
1893465
Rolf
Parker
Griffith
III
N
2200681
Rolf Parker Griffith III
2200681
1893407
9-E2
Robert W. Baird & Co. Incorporated
8158
1902139
9-C2
9-C4
9-C5
Robert W. Baird & Co. Incorporated
8158
2019931
9-E2
Robert W. Baird & Co. Incorporated
8158
2034694
9-E2
Robert W. Baird & Co. Incorporated
8158
2173872
CHARLES M. WEBER
CHARLES M. WEBER
SENIOR ASSOCIATE GENERAL COUNSEL
01-12-2022
5001057
N
N
Y
N
N
Y
N
Y
Y
N
Y
N
Y
N
N
N
N
N
Y
N
N