# Baird Principal Group Management Company I, LLC

> Baird Principal Group Management Company I, LLC is an SEC-registered investment advisory firm in Milwaukee, WI, registered since 2015, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 4, 2026.

- CRD: 269982
- Filed as: BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Milwaukee, WI
- Filing period: October 2026
- Form ADV filing dated: September 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/269982
- AdvisorCensus page: https://advisorcensus.com/firm/baird-principal-group-management-company-i-llc-milwaukee-wi-269982

## Quick answers

**How is Baird Principal Group Management Company I, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Baird Principal Group Management Company I, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is Baird Principal Group Management Company I, LLC located?**
Baird Principal Group Management Company I, LLC's principal office is in Milwaukee, WI, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Baird Principal Group Management Company I, LLC registered with the SEC or a state?**
Baird Principal Group Management Company I, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 269982.

**How much does Baird Principal Group Management Company I, LLC manage?**
Baird Principal Group Management Company I, LLC reports $22,409,000 in regulatory assets under management in its Form ADV filing dated September 4, 2026 (100% discretionary).

**How have Baird Principal Group Management Company I, LLC's assets and staff changed since 2021?**
In the Form ADV data for Baird Principal Group Management Company I, LLC: Regulatory assets under management: $46,845,000 in the October 2021 data and $22,409,000 in the October 2026 data, down 52%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Baird Principal Group Management Company I, LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1).

**Does Baird Principal Group Management Company I, LLC report any disciplinary disclosures?**
Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/269982

**What changed in Baird Principal Group Management Company I, LLC's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $22,409,000
- Discretionary: $22,409,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $22,409,000 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2015 (11 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/269982

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Chicago, IL

### Websites listed on Form ADV (Item 1.I)
- rwbaird.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $46,845,000 | 3 | March 31, 2021 |
| October 2022 | $27,429,000 | 3 | March 29, 2022 |
| October 2023 | $39,139,000 | 3 | March 31, 2023 |
| October 2024 | $43,349,000 | 3 | March 27, 2024 |
| October 2025 | $40,275,000 | 3 | March 31, 2025 |
| October 2026 | $22,409,000 | 3 | September 4, 2026 |

Regulatory assets under management: $46,845,000 in the October 2021 data and $22,409,000 in the October 2026 data, down 52%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### July 2026
- Item 11 disclosure answers changed: 5 yes answers, previously 4 (now yes: 11.D(2)).
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Regulatory assets under management went from $40,275,000 to $22,409,000 (-44%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Baird Principal Group Management Company I, LLC (CRD 269982): Form ADV filing data as of October 2026.