{ "crd_number": 146681, "slug": "gateway-investment-advisers-llc-cincinnati-oh-146681", "primary_business_name": "GATEWAY INVESTMENT ADVISERS, LLC", "legal_name": "GATEWAY INVESTMENT ADVISERS, LLC", "dbas": [], "city": "Cincinnati", "state": "OH", "country": "United States", "cbsa_code": "17140", "metro": { "cbsa_code": "17140", "common_name": "Cincinnati", "msa_name": "Cincinnati, OH-KY-IN", "path": "/advisors/oh/cincinnati" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2008-04-18", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-07-21", "carried_forward": false, "raum_total": 11590221648.0, "raum_discretionary": 11590221648.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 28, "advisory_employees": 10, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 1295841.0, "count": 2, "fewer_than_5": true }, "state_municipal": { "raum": 282476462.0, "count": 1, "fewer_than_5": true }, "investment_companies": { "raum": 9527632788.0, "count": 6 }, "high_net_worth_individuals": { "raum": 1623070843.0, "count": 294 }, "corporations_other_businesses": { "raum": 155745714.0, "count": 15 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": true, "disclosure_yes_count": 3, "states_registered": [ "CA", "CT", "FL", "GA", "HI", "IL", "LA", "MA", "MI", "MN", "MO", "NC", "NJ", "NV", "NY", "OH", "OR", "PA", "SC", "TX", "VA", "WA" ], "websites": [ "https://gia.com", "https://linkedin.com/COMPANY/GATEWAY-INVESTMENT-ADVISERS-LLC", "https://twitter.com/GATEWAY LLC" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146681", "disclosure_items": [ { "item": "11.A(1)", "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?" }, { "item": "11.C(2)", "question": "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?" }, { "item": "11.C(5)", "question": "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?" } ], "city_as_filed": "CINCINNATI", "url": "https://advisorcensus.com/firm/gateway-investment-advisers-llc-cincinnati-oh-146681", "display_name": "Gateway Investment Advisers, LLC", "summary": "Gateway Investment Advisers, LLC is an SEC-registered investment advisory firm in Cincinnati, OH, registered since 2008, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 21, 2026.", "citation": "AdvisorCensus. Gateway Investment Advisers, LLC (CRD 146681): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Gateway Investment Advisers, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Gateway Investment Advisers, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Gateway Investment Advisers, LLC located?", "a": "Gateway Investment Advisers, LLC's principal office is in Cincinnati, OH, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Gateway Investment Advisers, LLC registered with the SEC or a state?", "a": "Gateway Investment Advisers, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 146681." }, { "q": "How much does Gateway Investment Advisers, LLC manage?", "a": "Gateway Investment Advisers, LLC reports $11,590,221,648 in regulatory assets under management in its Form ADV filing dated July 21, 2026 (100% discretionary)." }, { "q": "How have Gateway Investment Advisers, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Gateway Investment Advisers, LLC: Regulatory assets under management: $9,963,375,732 in the October 2021 data and $11,590,221,648 in the October 2026 data, up 16%. Total employees: 19 in October 2021 and 28 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Gateway Investment Advisers, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (294); corporations or other businesses not listed above (15); investment companies (6)." }, { "q": "Which custodians does Gateway Investment Advisers, LLC use?", "a": "Gateway Investment Advisers, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC and Northern Trust Securities, Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Gateway Investment Advisers, LLC report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years), 11.C(2) (SEC or CFTC finding of a violation), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/146681" }, { "q": "What changed in Gateway Investment Advisers, LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Registered or notice-filed in LA, MO, OR, VA." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 9963375732.0, "total_employees": 19, "filing_date": "2021-07-09" }, { "period": "2022-10-01", "regulatory_assets_under_management": 11556402867.0, "total_employees": 20, "filing_date": "2022-09-27" }, { "period": "2023-10-01", "regulatory_assets_under_management": 8592744527.0, "total_employees": 21, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 8827745567.0, "total_employees": 21, "filing_date": "2024-06-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": 9416179247.0, "total_employees": 21, "filing_date": "2025-06-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 11590221648.0, "total_employees": 28, "filing_date": "2026-07-21" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Registered or notice-filed in LA, MO, OR, VA." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 9 to 10.", "Registered or notice-filed in GA, HI, IL, MI, MN, NC, PA, SC.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Employees performing advisory functions went from 6 to 9.", "Regulatory assets under management went from $9,416,179,247 to $10,909,371,942 (+16%).", "Registered or notice-filed in CA, CT, NV, NY, TX, WA." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false }, { "name": "Northern Trust Securities, Inc.", "name_as_filed": "NORTHERN TRUST SECURITIES, INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/gateway-investment-advisers-llc-cincinnati-oh-146681.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 2, "fewer_than_5": true, "raum": 1295841.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 294, "fewer_than_5": false, "raum": 1623070843.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 6, "fewer_than_5": false, "raum": 9527632788.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 1, "fewer_than_5": true, "raum": 282476462.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 15, "fewer_than_5": false, "raum": 155745714.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146681", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }