Carillon Investments, Inc. (Cincinnati)

Name: Carillon Investments, Inc.
Address: 1876 Waycross Rd, Stn 2, Cincinnati, OH, 45240
Telephone: 513-595-2600

Carillon Investments, Inc. is a large advisory firm based in Cincinnati. It manages $58.79 million of regulatory assets for 156 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 41 other states.

Carillon Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Carillon Investments: assets under management

The assets under management (AUM) of Carillon Investments, Inc. is $58.79 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carillon Investments, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Carillon Investments, Inc.

Harry Rossi has been acting as President since 1 Mar 1998. Amy Dannis Starkey joined the executive team most recently as the Assistant Vice President, Crop And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
The Union Central Life Insurance Company	Shareholder	1 Oct 1990	75% - 100%	31-0472910
John Francis Labmeier	Vice president and secretary	1 Mar 1991	Other	1229012
John Michael Lucas	Assistant secretary	1 Mar 1991	Other	2099377
Elizabeth Gay Monsell	President, director	1 Sep 1995	Other	1368671
Kevin William Otoole	Vice president	1 Sep 1995	Other	1218438
Harry Rossi	Director	1 Mar 1998	Other	1888145
Steven Robert Sutermeister	Director	1 Jun 1999	Other	846329
Amy Dannis Starkey	Crop	1 Nov 1999	Other	2469045
Connie Sue Grosser	Vice president, srop, finop principal, muni principal, treasurer	1 Feb 2000	Other	1998135
Bernard Andre Breton	Vice president, compliance officer	1 Feb 2000	Other	2030660
Melissa Ann Mackendrick	Assistant treasurer	1 Aug 2000	Other	3236420
John Robert Feldman	Assistant vice president	1 Aug 2000	Other	2139396
Gary Thomas Huffman	Director	1 Aug 2000	Other	1032890
John Robert Feldman	Assistant vice president, srop	1 Aug 2001	Other	2139396
Andrew James Vanerp	Vice president, marketing & sales	1 Jan 2004	Other	2643069
Joy Rucker Clements	Assistant vice president	1 Jan 2004	Other	3120556
Amy Dannis Starkey	Assistant vice president, compliance, & crop	1 May 2005	Other	2469045
Jennifer Ann Elliott	Assistant vice president, operations	1 May 2005	Other	4181299
Amy Dannis Starkey	Assistant vice president, crop and chief compliance officer	1 Apr 2006	Other	2469045
Salene Marie Hitchcockgear	President	1 Apr 2006	Other	2590328

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Unifi Mutual Holding Company	Owner	1 Jan 2006	75% - 100%	47-0810165
Ameritas Holding Company	Owner	1 Jan 2006	75% - 100%	47-0806844

Based in Cincinnati

The principal office where Carillon Investments, Inc. performs its advisory services is located at 1876 Waycross Rd, Stn 2, Cincinnati, OH 45240 The mailing address of the firm is P.O. Box 40409, Cincinnati, OH 45240 0409. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 513-595-2600 or by fax 513-595-2747. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.carilloninvest.com.