Adam Denny Estes

Robert W. Baird & CO. Incorporated

24 Years of Experience

3 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Robert W. Baird & CO. Incorporated

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

2463 advisors

Number of Clients

228,442 clients

Average Client Portfolio

$1.5M average

Assets Under Management

$342.1B

Fee Structure

Location

4803 Olympia Park Plaza, 4th Floor, Suite 4000, Louisville, KY, 40241

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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.

Regulatory

June 2018

Final

Regulatory

August 2016

Final

Customer Dispute

October 2011

Denied

View Full SEC Report How to Read Disclosures

Other Business Activities

Adam is involved in numerous LLCs and businesses, primarily in real estate and related ventures, including Upland Brewing Co. He dedicates about 10-20% of his time to PTS Electronics as an owner/principal in supply chain.

Employment History

Current Registrations

Robert W. Baird & CO. Incorporated

October 2019 - Present · 6 yrs 4 mos

Robert W. Baird & CO. IncorporatedBroker

October 2019 - Present · 6 yrs 4 mos

Previous Registrations

J.J.B. Hilliard, W.L. Lyons, LLC

January 2018 - October 2019 · 1 yr 9 mos

J.J.B. Hilliard, W.L. Lyons, LLCBroker

December 2017 - October 2019 · 1 yr 10 mos

J.J.B. Hilliard, W.L. Lyons, LLC

May 2003 - August 2016 · 13 yrs 3 mos

J.J.B. Hilliard, W.L. Lyons, LLCBroker

February 2000 - August 2016 · 16 yrs 6 mos

State Registrations35 states

ALAZCACOCTDCDEFLGAILINKSKYLAMDMIMNMOMSNCNJNMNYOHOKPASCSDTNTXUTVAVTWAWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.