Carillon Investments, Inc. (Cincinnati)


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.

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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. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. 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.