TrueAdvisor
TrueAdvisor
SG
SG

Stephen Grossman

Robert W. Baird & CO. Incorporated
43 Years of Experience
Lexington, KY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Stephen Grossman is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Lexington, KY, with 43 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 241,359 clients with $390B in assets under management.

Robert W. Baird & CO. Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2620 advisors
Number of Clients
241,359 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$394.1B

Fee Structure

Investment management only (planning not offered)

Robert W. Baird & Co. charges an ongoing annual fee for portfolio management, which is bundled with trade execution and custody services as part of a wrap fee program. The specific fee amount depends on the chosen program, strategy, and the size of your portfolio, and is generally calculated as a percentage of the assets they manage for you. Additional costs may apply if managers execute trades away from Baird or if you utilize specialized overlay services.

View Full SEC Brochure

Location

100 W Main St, Suite 500, Lexington, KY, 40507

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 1994
Award / Judgment
Customer Dispute
December 1993
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is a board member for the University of Kentucky Gaines Center for the Humanities and Shaker Village at Pleasant Hill, and chairman for the American Heart Association. He is also involved with the Triangle Foundation, Downtown Lexington Partnership, Long Run Woodford Hounds, and owns Hillwood Farm, dedicating minimal time to most of these activities, except for Long Run Woodford Hounds, where he spends a few hours per week.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
October 2019 - Present · 7 yrs
Robert W. Baird & CO. IncorporatedBroker
October 2019 - Present · 7 yrs
Previous Registrations
J.J.B. Hilliard, W.L. Lyons, LLC
January 2004 - October 2019 · 15 yrs 9 mos
J.J.B. Hilliard, W.L. Lyons, LLCBroker
January 1983 - October 2019 · 36 yrs 9 mos
State Registrations40 states
ALARAZCACODCDEFLGAHIILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENJNMNVNYOHOKPASCTNTXVAWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Lexington, KY →All financial advisors in Kentucky →