# GATEWAY INVESTMENT ADVISERS, LLC

GATEWAY INVESTMENT ADVISERS, LLC of CINCINNATI, OH is an SEC-registered investment adviser.

## Registration

- CRD: 146681
- Type: SEC-registered investment adviser
- SEC file number: 801-68972
- Location: 312 WALNUT STREET, SUITE 3500, CINCINNATI, OH, 45202-9834
- Phone: 513-719-1100
- Latest filing: 2026-07-21
- Regulatory AUM: $11.6B
- Discretionary AUM: $11.6B
- Clients: 28
- Accounts: 318

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (39)

_Showing 25 of 39 people._

| Name | Role | Location |
| --- | --- | --- |
| David Lawrence Giunta | BOARD MEMBER | — |
| Eric Norman Ward | BOARD MEMBER | — |
| Tricia Groff Tomich | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AND SECRETARY | — |
| Julie Marie Schmuelling | PRESIDENT, CHIEF OPERATING OFFICER, AND BOARD MEMBER | — |
| Michael Thomas Buckius | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND BOARD MEMBER; CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER, AND PORTFOLIO MANAGER | — |
| Nelson Craig Bickel | VICE PRESIDENT AND CHIEF INFORMATION OFFICER | — |
| Kenneth Howard Toft | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | — |
| James T Orfanos | BOARD MEMBER | — |
| Theresa Marie Bridge | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Daniel Mitchell Ashcraft | SENIOR VICE PRESIDENT, BOARD MEMBER, AND PORTFOLIO MANAGER; VICE PRESIDENT AND BOARD MEMBER | — |
| Michael Robert Knapke | VICE PRESIDENT, DIRECTOR OF MARKETING | — |
| Maxwell James Hopkins | CHIEF RISK OFFICER, ASSISTANT GENERAL COUNSEL, AND COMPLIANCE OFFICER; CHIEF RISK OFFICER, COUNSEL, AND COMPLIANCE OFFICER | — |
| Stephen Joseph Solaka | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | — |
| Daniel Beckwith | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | — |
| WILKINSON DUNCAN BORGER ELLERTON | BOARD MEMBER; DIRECTOR | — |
| BROWN JANET MARIE | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AND SECRETARY | — |
| KRANTZ ROBERT ALAN | DIRECTOR | — |
| STEWART JEFFREY ROBERT | CHIEF EXECUTIVE OFFICER AND BOARD MEMBER; PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT, CHIEF EXECUTIVE OFFICER AND BOARD MEMBER (+1 more) | — |
| ROGERS JAMES PATRICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND BOARD MEMBER | — |
| KEENAN GEOFFREY | EXECUTIVE VICE PRESIDENT AND BOARD MEMBER | — |
| SALL WALTER GENE | CHAIRMAN | — |
| MERRIKEN HARRY ERNEST | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT & CHIEF INVESTMENT STRATEGIST | — |
| GOLDSCHMIDT GARY HOWARD | CHIEF FINANCIAL OFFICER, TREASURER, AND VICE PRESIDENT; CHIEF FINANCIAL OFFICER, TREASURER, VICE PRESIDENT AND BOARD MEMBER; CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT AND BOARD MEMBER (+1 more) | — |
| GIUNTA DAVID LAWRENCE | BOARD MEMBER | — |
| BUCKIUS MICHAEL THOMAS | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF INVESTMENT OFFICER, AND BOARD MEMBER; CHIEF INVESTMENT OFFICER AND SENIOR VICE PRESIDENT; CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT AND BOARD MEMBER (+2 more) | — |


## Disclosures (14)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-09-06 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER FILING AND SETTLING CHARGES AGAINST NATIXIS, A GLOBAL BANK AND SWAP DEALER, FOR FAILURE TO DILIGENTLY SUPERVISE TWO TRADERS ON THE BANK'S NEW YORK-BASED INTEREST RATE DERIVATIVES DESK (IRD DESK) AND ITS EQUITY DERIVATIVES FLOW AND SOLUTION TRA… | Final | $2.8M |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | Final | — |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | On Appeal | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/146681/brochure
- Similar advisers: https://search.stillhousedata.com/firm/146681/similar
- Related entities: https://search.stillhousedata.com/firm/146681/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/146681

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.