GOELZER INVESTMENT MANAGEMENT, INC. of CARMEL, IN is an SEC-registered investment adviser (CRD 44402). Regulatory assets under management: $4.5B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other.
Showing 25 of 28 people.
| Name | Role | Location |
|---|---|---|
| Cheryl Ann Ackerman | CHIEF FINANCIAL OFFICER | Indianapolis, IN |
| Gregory William Goelzer | CHAIRMAN AND CEO; TRUSTEE | — |
| Brett Dean Mckamey | SENIOR PARTNER; TRUSTEE | — |
| Lisa Goelzer Freihofer | SHAREHOLDER | — |
| Sandra Kay Goelzer | SHAREHOLDER | — |
| James Andrew Concannon | SENIOR PARTNER | — |
| Gavin Wayne Stephens | CHIEF INVESTMENT OFFICER | — |
| Donald Joseph Hutchinson | CHIEF GROWTH OFFICER; MANAGING DIRECTOR, INSTITUTIONAL ADVISORY SERVICES | — |
| Brian Joseph Pyne | MANAGING DIRECTOR, PRIVATE CLIENT; TRUSTEE | — |
| Chris Cotterill | PRESIDENT; TRUSTEE | — |
| Brandon Scott Watson | CHIEF COMPLIANCE OFFICER | — |
| GOELZER GREGORY WILLIAM | CHAIRMAN AND CEO; CHAIRMAN, OWNER; CHAIRMAN, OWNER, TRUSTEE (+9 more) | — |
| MCKAMEY BRETT DEAN | PRESIDENT; PRESIDENT AND COO; PRESIDENT AND COO, CHIEF COMPLIANCE OFFICER BROKER/DEALER (+2 more) | — |
| SMITH CLARENCE ANDREW | OWNER | — |
| JOAN B GOELZER | OWNER | — |
| FREIHOFER LISA GOELZER | OWNER | — |
| GOELZER SANDRA KAY | OWNER | — |
| RYKER CHRISTOPHER ANTHONY | OWNER | — |
| CASSIERE GEORGE GERARD | OWNER | — |
| RYNERSON DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | — |
| CONCANNON JAMES ANDREW | OWNER | — |
| BUSH JEFFREY ADAM | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/INVESTMENT ADVISORY SERVICES | — |
| STEPHENS GAVIN WAYNE | OWNER | — |
| WILD GEORGE POSEY | OWNER | — |
| HUTCHINSON DONALD JOSEPH | MANAGING DIRECTOR, INSTITUTIONAL ADVISORY SERVICES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-07-31 | regulatory | — | — | — |
| 2013-07-31 | regulatory | THIS ACTION INVOLVES DISCLOSURE AND COMPLIANCE FAILURES RELATED TO AN INVESTMENT ADVISER'S USE OF ITSELF AS BROKER TO EXECUTE CLIENT TRADES. THESE COMPLIANCE FAILURES INCLUDE, LACK OF BEST EXECUTION ANALYSIS CONSISTENT WITH ITS STATEMENTS IN ITS FORM ADV PART II AND PART 2A. GIM MISREPRESENTED IN IT… | Final | $100K |
| — | regulatory | — | — | — |