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Andrew Baldauf

Executive Vice President and Chief Compliance Officer at Wilmington Funds Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Andrew Baldauf is Executive Vice President and Chief Compliance Officer of Wilmington Funds Management Corporation, a Wilmington investment adviser managing $16.1B. Andrew Baldauf has passed 5 licensing exams.

Role at Wilmington Funds Management

Title on Schedule A
Executive Vice President and Chief Compliance Officer
Control
Andrew Baldauf is a control person of Wilmington Funds Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Andrew Baldauf has held the filed role since August 2022.

The firm

Wilmington Funds Management Corporation
Wilmington, DE

Form ADV filed 30 March 2026

$16.1B AUM10 clients34 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 2000
  3. Passed Series 7 · 1999
  4. Passed Series 6 and Series 63 · 1998

Registrations and exams

No current adviser or broker registration. Andrew Baldauf has passed 5 qualifying exams.

Examinations

Series 635 October 1998
Name
Uniform Securities Agent State Law Examination
Series 2420 July 2000
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 721 June 1999
Name
General Securities Representative Examination
Series 622 September 1998
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Andrew John Baldauf
CRD
1554676
Firm
Wilmington Funds Management Corporation
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Andrew Baldauf work?

Andrew Baldauf has been Executive Vice President and Chief Compliance Officer of Wilmington Funds Management Corporation since August 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Andrew Baldauf have a current investment-adviser registration?

Andrew Baldauf has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Andrew Baldauf passed?

Andrew Baldauf has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in September 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Wilmington Funds Management

  • Edna Warren
    Chair of the Board and Chief Executive Officer
  • Matthew Glaser
    Executive Vice President, Head of Equity and Non-Traditional Investments
  • John Kelley
    President
  • John McDonnell
    Senior Vice President, Chief Operations Officer, and Assistant Secretary
  • Anthony Roth
    Senior Executive Vice President, Chief Investment Officer and Director
  • Luke Tilley
    Executive Vice President & Chief Economist
  • Randy Vogel
    Executive Vice President & Head of Fixed Income
  • Gerald Baker
    Director
  • Michael Keane
    Director
  • Lisa Roberts
    Director

Sources

  1. IAPD individual record, CRD 1554676. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Wilmington Funds Management Corporation, filed 30 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Andrew Baldauf or Wilmington Funds Management Corporation and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.