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Richard Hart

Robert W. Baird & CO. Incorporated
42 Years of Experience
Lexington, KY
3 DisclosuresBroker
View SEC Summary
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Richard Hart is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Lexington, KY, with 42 years of industry experience. Richard 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.

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Location

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

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History

Regulatory History (3)
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
May 2016
Settled
Customer Dispute
April 2016
Denied
Customer Dispute
December 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard serves as the treasurer for Broadway Baptist Church, providing bi-monthly reports on income and expenses. This non-investment related activity requires minimal time.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
October 2019 - Present · 7 yrs
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 1984 - October 2019 · 35 yrs 9 mos
State Registrations35 states
ALAZCACOFLGAIAILINKSKYMDMEMIMOMSMTNCNENJNVNYOHOKORPARISCTNTXUTVAVTWAWV
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.
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