Firm profile

Lsv Asset Management

CHICAGO, ILCRD 109918Registration Status: ApprovedEffective since November 14, 1994SEC # 801-47689Latest ADV March 30, 2026

Lsv Asset Management is an SEC registered investment adviser organized as a partnership with a primary office location in Chicago, IL. Its latest Form ADV filing, dated March 30, 2026, reports $104.2B in regulatory assets under management, 45 employees, 1 office, and 216 accounts.

Assets Under Management
$104.2B
Employees
45
Offices
1 office
Total Clients
216

Associated firm names

1 name listed
  • LSV ASSET MANAGEMENT

Leadership

4 roles identified
CEOJosef N. Lakonishok
CCOJoshua P. O'donnell
COOKevin T. Phelan

Advisory services offered

5 types reported
Other advisory services
Portfolio management for businesses
Portfolio management for individuals and small businesses

Fee models offered

3 types reported
Asset based fees
Other fee arrangements
Performance-based fees

Offices & Contact

Primary office

CHICAGO, Illinois, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Illinois

CHICAGOPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$104.2Bas of March 30, 2026
Discretionary100.0%
$104.2B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentCorporations represent 21.3% of total clients.
Top client categories% of clientsClients
1
Corporations
21.3%
46
2
Pooled Investment Vehicles
20.4%
44
3
Pension Plans
19.0%
41
4
Government
17.1%
37
5
Charitable
12.5%
27

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$104.2B
Total Accounts216
10Y AUM Change+$7.2B (+7.4%)

Private Funds

Private funds reported by Lsv Asset Management

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees45
Clients per Employee5:1
10Y Employee Change+5 (+12.5%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
SEI FUNDS, INC.Direct owner · Schedule AInterest in LSV ASSET MANAGEMENT
25% to < 50%
IB VENTURE FUND, INC.Direct owner · Schedule AInterest in LSV ASSET MANAGEMENT
10% to < 25%
VISHNY CORPORATIONDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
FOX PINE HILL LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
MENNO, LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
11-11 LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
MILLER EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
OWENS EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
NEWMAN EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
BRUCH EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
MANSHARAMANI EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
PHELAN EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
RAGOTHAMAN EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
BEATA EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
KEMPER EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
KARCESKI EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
SLEIGHT EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
QUINN EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
GUY LAKONISHOK EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
O'MALLEY EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
KONDZIELA EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
2112 LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
WAGNER EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
LIU EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
O'DONNELL EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
ROSENBLATT EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
SANDERSON EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
UPPALAPATI EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
DUPONT EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
SKARISHEVSKY EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
WEBER EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
LSV EMPLOYEE GROUP IV, LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
LSV EMPLOYEE GROUP V, LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
CHAKRADEO EHC LLCDirect owner · Schedule AInterest in LSV ASSET MANAGEMENT
< 5%
TREMAINE ARKLEY ATKINSONIndirect owner · Schedule BInterest in 11-11 LLC
75%+
MENNO VERMEULENIndirect owner · Schedule BInterest in MENNO, LLC
75%+
CHRISTOPHER JOSEPH LACROIXIndirect owner · Schedule BInterest in FOX PINE HILL LLC
75%+
JAMES WILSON OWENSIndirect owner · Schedule BInterest in OWENS EHC LLC
75%+
ERIC MICHAEL MILLERIndirect owner · Schedule BInterest in MILLER EHC LLC
75%+
DANIEL NEWMANIndirect owner · Schedule BInterest in NEWMAN EHC LLC
75%+
KEITH BRUCHIndirect owner · Schedule BInterest in BRUCH EHC LLC
75%+
PUNEET MANSHARAMANIIndirect owner · Schedule BInterest in MANSHARAMANI EHC LLC
75%+
KEVIN THOMAS PHELANIndirect owner · Schedule BInterest in PHELAN EHC LLC
75%+
BALAKUMAR RAGOTHAMANIndirect owner · Schedule BInterest in RAGOTHAMAN EHC LLC
75%+
SCOTT SCRIBNER KEMPERIndirect owner · Schedule BInterest in KEMPER EHC LLC
75%+
GREG SLEIGHTIndirect owner · Schedule BInterest in SLEIGHT EHC LLC
75%+
DAVID GERARD BEATAIndirect owner · Schedule BInterest in BEATA EHC LLC
75%+
MONIKA QUINNIndirect owner · Schedule BInterest in QUINN EHC LLC
75%+
CLAUDE JOSEPH O'MALLEYIndirect owner · Schedule BInterest in O'MALLEY EHC LLC
75%+
GUY LAKONISHOKIndirect owner · Schedule BInterest in GUY LAKONISHOK EHC LLC
75%+
LESLIE MARIE KONDZIELAIndirect owner · Schedule BInterest in KONDZIELA EHC LLC
75%+
MENNO VERMEULENIndirect owner · Schedule BInterest in 2112 LLC
75%+
SEI INVESTMENTS COMPANYIndirect owner · Schedule BInterest in SEI FUNDS, INC.
75%+
MICHAEL PATRICK WAGNERIndirect owner · Schedule BInterest in WAGNER EHC LLC
75%+
JOSHUA PATRICK O'DONNELLIndirect owner · Schedule BInterest in O'DONNELL EHC LLC
75%+
BRIAN BENJAMIN SANDERSONIndirect owner · Schedule BInterest in SANDERSON EHC LLC
75%+
MARISA ROSENBLATTIndirect owner · Schedule BInterest in ROSENBLATT EHC LLC
75%+
TITUS WONG-HUNG LIUIndirect owner · Schedule BInterest in LIU EHC LLC
75%+
Rajeev UppalapatiIndirect owner · Schedule BInterest in UPPALAPATI EHC LLC
75%+
JOSH JOSEPH DUPONTIndirect owner · Schedule BInterest in DUPONT EHC LLC
75%+
KARCESKI FAMILY LLCIndirect owner · Schedule BInterest in KARCESKI EHC LLC
75%+
Gal SkarishevskyIndirect owner · Schedule BInterest in SKARISHEVSKY EHC LLC
75%+
BRIAN THOMAS WEBERIndirect owner · Schedule BInterest in WEBER EHC LLC
75%+
SUVRAT PRAFULLA CHAKRADEOIndirect owner · Schedule BInterest in CHAKRADEO EHC LLC
75%+
JOSEF NMN LAKONISHOKIndirect owner · Schedule BInterest in IB VENTURE FUND, INC.
50% to < 75%
LAKONISHOK FAMILY 1998 GIFT TRUSTIndirect owner · Schedule BInterest in IB VENTURE FUND, INC.
50% to < 75%
ROBERT VISHNYIndirect owner · Schedule BInterest in VISHNY CORPORATION
50% to < 75%
WENDY VISHNYIndirect owner · Schedule BInterest in VISHNY CORPORATION
50% to < 75%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Lsv Asset Management.

Reported ownership and control details

Form ADV · Filing date 2026-03-30 · Schedules A and B

74 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1IB VENTURE FUND, INC.GENERAL PARTNERDomestic entityLSV ASSET MANAGEMENT10% to less than 25%Code BNoGENERAL PARTNER10/1994Schedule APDF page 116
2VISHNY CORPORATIONGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER10/1994Schedule APDF page 116
3FOX PINE HILL LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER07/1996Schedule APDF page 116
4MENNO, LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER01/1999Schedule APDF page 116
511-11 LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2001Schedule APDF page 116
6SEI FUNDS, INC.GENERAL PARTNERDomestic entityLSV ASSET MANAGEMENT25% to less than 50%Code CYesGENERAL PARTNER10/1994Schedule APDF page 116
7JOSEF NMN LAKONISHOKCEO, CIOIndividualLSV ASSET MANAGEMENTLess than 5%Code NAYesCEO, CIO10/1994Schedule APDF page 116
8MILLER EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER07/2003Schedule APDF page 116
9OWENS EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER07/2003Schedule APDF page 116
10NEWMAN EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2004Schedule APDF page 116
11BRUCH EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER01/2006Schedule APDF page 116
12MANSHARAMANI EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER01/2006Schedule APDF page 116
13PHELAN EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2009Schedule APDF page 117
14RAGOTHAMAN EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2009Schedule APDF page 117
15BEATA EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2011Schedule APDF page 117
16KEMPER EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2011Schedule APDF page 117
17KARCESKI EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2012Schedule APDF page 117
18SLEIGHT EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2012Schedule APDF page 117
19QUINN EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2013Schedule APDF page 117
20GUY LAKONISHOK EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2013Schedule APDF page 117
21O'MALLEY EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2013Schedule APDF page 117
22JOSHUA PATRICK O'DONNELLCHIEF COMPLIANCE OFFICERIndividualLSV ASSET MANAGEMENTLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER12/2013Schedule APDF page 117
23KEVIN THOMAS PHELANCHIEF OPERATING OFFICERIndividualLSV ASSET MANAGEMENTLess than 5%Code NAYesCHIEF OPERATING OFFICER11/2013Schedule APDF page 117
24KONDZIELA EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2014Schedule APDF page 117
252112 LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER01/2015Schedule APDF page 117
26WAGNER EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2015Schedule APDF page 117
27LIU EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2016Schedule APDF page 117
28O'DONNELL EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2016Schedule APDF page 117
29ROSENBLATT EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2016Schedule APDF page 117
30SANDERSON EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2016Schedule APDF page 117
31UPPALAPATI EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2017Schedule APDF page 117
32DUPONT EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2021Schedule APDF page 117
33BALAKUMAR RAGOTHAMANCHIEF TECHNOLOGY OFFICERIndividualLSV ASSET MANAGEMENTLess than 5%Code NAYesCHIEF TECHNOLOGY OFFICER07/2021Schedule APDF page 117
34SKARISHEVSKY EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2022Schedule APDF page 117
35WEBER EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2023Schedule APDF page 117
36LSV EMPLOYEE GROUP IV, LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER10/2023Schedule APDF page 117
37LSV EMPLOYEE GROUP V, LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER07/2024Schedule APDF page 117
38CHAKRADEO EHC LLCGENERAL PARTNERDomestic entityLSV ASSET MANAGEMENTLess than 5%Code NANoGENERAL PARTNER04/2025Schedule APDF page 117
39TREMAINE ARKLEY ATKINSONMEMBERIndividual11-11 LLC75% or moreCode EYesMEMBER04/2001Schedule BPDF page 118
40JOSEF NMN LAKONISHOKSHAREHOLDERIndividualIB VENTURE FUND, INC.50% to less than 75%Code DYesSHAREHOLDER01/2008Schedule BPDF page 118
41LAKONISHOK FAMILY 1998 GIFT TRUSTSHAREHOLDERDomestic entityIB VENTURE FUND, INC.50% to less than 75%Code DYesSHAREHOLDER01/2008Schedule BPDF page 118
42ROBERT VISHNYSHAREHOLDERIndividualVISHNY CORPORATION50% to less than 75%Code DYesSHAREHOLDER10/1994Schedule BPDF page 118
43WENDY VISHNYSHAREHOLDERIndividualVISHNY CORPORATION50% to less than 75%Code DYesSHAREHOLDER10/1994Schedule BPDF page 118
44MENNO VERMEULENMEMBERIndividualMENNO, LLC75% or moreCode EYesMEMBER01/1999Schedule BPDF page 118
45CHRISTOPHER JOSEPH LACROIXMEMBERIndividualFOX PINE HILL LLC75% or moreCode EYesMEMBER07/1996Schedule BPDF page 118
46JAMES WILSON OWENSMEMBERIndividualOWENS EHC LLC75% or moreCode ENoMEMBER07/2003Schedule BPDF page 118
47ERIC MICHAEL MILLERMEMBERIndividualMILLER EHC LLC75% or moreCode ENoMEMBER07/2003Schedule BPDF page 118
48DANIEL NEWMANMEMBERIndividualNEWMAN EHC LLC75% or moreCode ENoMEMBER04/2004Schedule BPDF page 118
49KEITH BRUCHMEMBERIndividualBRUCH EHC LLC75% or moreCode ENoMEMBER01/2006Schedule BPDF page 118
50PUNEET MANSHARAMANIMEMBERIndividualMANSHARAMANI EHC LLC75% or moreCode ENoMEMBER01/2006Schedule BPDF page 118
51JOSEF NMN LAKONISHOKTRUSTEEIndividualLAKONISHOK FAMILY 1998 GIFT TRUSTPercentage not specifiedCode FYesTRUSTEE12/1998Schedule BPDF page 118
52KEVIN THOMAS PHELANMEMBERIndividualPHELAN EHC LLC75% or moreCode ENoMEMBER04/2009Schedule BPDF page 118
53BALAKUMAR RAGOTHAMANMEMBERIndividualRAGOTHAMAN EHC LLC75% or moreCode ENoMEMBER04/2009Schedule BPDF page 118
54SCOTT SCRIBNER KEMPERMEMBERIndividualKEMPER EHC LLC75% or moreCode ENoMEMBER04/2011Schedule BPDF page 118
55JASON KARCESKIMANAGERIndividualKARCESKI FAMILY LLCPercentage not specifiedCode FYesMANAGER08/2021Schedule BPDF page 118
56GREG SLEIGHTMEMBERIndividualSLEIGHT EHC LLC75% or moreCode ENoMEMBER04/2012Schedule BPDF page 118
57DAVID GERARD BEATAMEMBERIndividualBEATA EHC LLC75% or moreCode ENoMEMBER04/2011Schedule BPDF page 118
58MONIKA QUINNMEMBERIndividualQUINN EHC LLC75% or moreCode ENoMEMBER04/2013Schedule BPDF page 118
59CLAUDE JOSEPH O'MALLEYMEMBERIndividualO'MALLEY EHC LLC75% or moreCode ENoMEMBER04/2013Schedule BPDF page 118
60GUY LAKONISHOKMEMBERIndividualGUY LAKONISHOK EHC LLC75% or moreCode ENoMEMBER04/2013Schedule BPDF page 118
61LESLIE MARIE KONDZIELAMEMBERIndividualKONDZIELA EHC LLC75% or moreCode ENoMEMBER04/2014Schedule BPDF page 118
62MENNO VERMEULENMEMBERIndividual2112 LLC75% or moreCode EYesMEMBER01/2015Schedule BPDF page 118
63SEI INVESTMENTS COMPANYSHAREHOLDERDomestic entitySEI FUNDS, INC.75% or moreCode EYesSHAREHOLDER02/1992Schedule BPDF page 118
64MICHAEL PATRICK WAGNERMEMBERIndividualWAGNER EHC LLC75% or moreCode ENoMEMBER04/2015Schedule BPDF page 118
65JOSHUA PATRICK O'DONNELLMEMBERIndividualO'DONNELL EHC LLC75% or moreCode ENoMEMBER04/2016Schedule BPDF page 118
66BRIAN BENJAMIN SANDERSONMEMBERIndividualSANDERSON EHC LLC75% or moreCode ENoMEMBER04/2016Schedule BPDF page 118
67MARISA ROSENBLATTMEMBERIndividualROSENBLATT EHC LLC75% or moreCode ENoMEMBER04/2016Schedule BPDF page 118
68TITUS WONG-HUNG LIUMEMBERIndividualLIU EHC LLC75% or moreCode ENoMEMBER04/2016Schedule BPDF page 118
69Rajeev UppalapatiMEMBERIndividualUPPALAPATI EHC LLC75% or moreCode ENoMEMBER04/2017Schedule BPDF page 118
70JOSH JOSEPH DUPONTMEMBERIndividualDUPONT EHC LLC75% or moreCode ENoMEMBER04/2021Schedule BPDF page 118
71KARCESKI FAMILY LLCMEMBERDomestic entityKARCESKI EHC LLC75% or moreCode ENoMEMBER08/2021Schedule BPDF page 119
72Gal SkarishevskyMEMBERIndividualSKARISHEVSKY EHC LLC75% or moreCode ENoMEMBER04/2022Schedule BPDF page 119
73BRIAN THOMAS WEBERMEMBERIndividualWEBER EHC LLC75% or moreCode ENoMEMBER04/2023Schedule BPDF page 119
74SUVRAT PRAFULLA CHAKRADEOMEMBERIndividualCHAKRADEO EHC LLC75% or moreCode ENoMEMBER04/2025Schedule BPDF page 119

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/30/2026 2:17:47 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.