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Adam Estes

Robert W. Baird & CO. Incorporated
25 Years of Experience
Louisville, KY
3 DisclosuresBroker
View SEC Summary
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Adam Estes is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Louisville, KY, with 25 years of industry experience. Adam 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
2611 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

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 ReportHow 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 · 7 yrs
Robert W. Baird & CO. IncorporatedBroker
October 2019 - Present · 7 yrs
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

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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