ON INVESTMENT MANAGEMENT CO of CINCINNATI, OH is an SEC-registered investment adviser (CRD 105662). Regulatory assets under management: $3.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Andrew Joseph Vanhoy | CHIEF COMPLIANCE OFFICER | — |
| Nancy M Westbrock | CHAIRMAN, PRESIDENT & CEO | — |
| John Adam Mackintosh | DIRECTOR | — |
| HUFFMAN GARY THOMAS | CHAIRMAN/DIRECTOR; PRESIDENT/DIRECTOR | — |
| PALMER JOHN JACOB | PRESIDENT/DIRECTOR | — |
| SMITH DAVID GATES | VICE PRESIDENT/DIRECTOR | — |
| HAVERKAMP MICHAEL F | SECRETARY/DIRECTOR | — |
| TURNER BARBARA ANN | DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER; TREASURER (+2 more) | — |
| BLEY JEFFREY ALLEN | CHAIRMAN, PRESIDENT & CEO; CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER (+2 more) | — |
| TANEY DENNIS RAY | TREASURER | — |
| MCEVOY PATRICK HENRY | CHAIRMAN, PRESIDENT & CEO; DIRECTOR; PRESIDENT | — |
| ADAMS LARRY JOEL | VICE PRESIDENT; VICE PRESIDENT/DIRECTOR | — |
| PLANTE KIMBERLY ANNE | SECRETARY | — |
| VANHOY ANDREW JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| COOKE HARRY DOUGLAS | DIRECTOR | — |
| WESTBROCK NANCY M | CHAIRMAN, PRESIDENT & CEO; CHIEF OPERATIONS OFFICER; DIRECTOR & CHIEF OPERATIONS OFFICER | — |
| DELPOZZO JOHN ANDREW | DIRECTOR | — |
| MACKINTOSH JOHN ADAM | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-10-15 | civil | CUSTOMER ALLEGES MISAPPROPRIATION OF FUNDS BY A IAR OF THE FIRM; FIRM IS NAME AS A RESPONDENT. | Pending | — |
| 2022-01-11 | regulatory | FOR THE PERIOD FROM 2014 THROUGH MARCH 2017, ONIMCO ADVISED CLIENTS TO PURCHASE OR HOLD MUTUAL FUND SHARE CLASSES THAT PAID 12B-1 FEES TO ONIMCO OR ITS AFFILIATED BROKER-DEALER INSTEAD OF LOWER-COST SHARE CLASSES FOR THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. THE SEC FURTHER STATED THAT, ST… | Final | $1.2M |
| 2019-04-23 | regulatory | THE DIVISION ALLEGES THAT THE O.N. EQUITY SALES COMPANY FAIL TO SUPERVISE FORMER REGISTERED REPRESENTATIVE, JOSHUA RAY ABERNATHY, WHILE HE WAS EMPLOYED BY THEIR FIRM. ABERNATHY MISAPPROPRIATED FUNDS FROM AT LEAST FOURTEEN (14) INVESTORS WHILE EMPLOYED BY THE O.N. EQUITY SALES COMPANY. | Final | — |