Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Brown Brothers Harriman Mutual Fund Advisory Department
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
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%
JEFFREY ALAN SCHOENFELDDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
TAYLOR STOCKWELL BODMANDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
WILLIAM BROPHY TYREEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
THOMAS ERIC BERKDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
GEOFFREY MACKENZIE COOKDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
KEVIN W STONEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
SEAN NMN PAIRCEIRDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
JEFFREY BRYAN MESKINDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
CHRISTOPHER CHARLES REMONDIDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
5% to < 10%
RADFORD WERNER KLOTZDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
RICHARD HOWELL WITMERDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
DOUGLAS AIDAN DONAHUEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
HAMPTON SIMPSON LYNCHDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
WILLIAM CARTER SULLIVANDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
ANDREW JAMES FRANCIS TUCKERDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
WILLIAM JOSEPH WHELANDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
CHARLES OWEN IZARDDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
YUKINORI NMN NAGAHISADirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
KATHRYN CAROLYN GEORGEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
MAROA DEL CARMEN VELEZDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
JEAN MARC CREPINDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
GAVIN SCOTT CLEMONSDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
Suzanne Elizabeth BrennerDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
LORRIE LYNN GORDONDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
MICHAEL JAMES MCDONALDDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
VALENTINO DINO CARLOTTIDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
NORIYASU NMN SONOBEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
THOMAS JAMES DAVISDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
Christopher Neil Averill GothardDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
JUSTIN V. REEDDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
CHRISTIAN MICHAEL BRUNETDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
HILARY MARTELL CAPAYDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
Orla E FoleyDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
NEIL M HOHMANNDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
WILLIAM HAMPTON HYDERDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
BRADLEY M LANGERDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
BBH PRINCIPALS LPDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
Lewis Justice HartDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
CHRISTOPHER JOHN MCCABEDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
SHAWN RAY MCNINCHDirect owner · Schedule AInterest in BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
< 5%
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 Brown Brothers Harriman Mutual Fund Advisory Department.
No indirect ownership information reported in the source’s Schedule B.
Reported ownership and control details
Form ADV · Filing date 2026-03-30 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | RADFORD WERNER KLOTZPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/1995 | Schedule APDF page 22 |
| 2 | JEFFREY ALAN SCHOENFELDPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/1996 | Schedule APDF page 22 |
| 3 | RICHARD HOWELL WITMERPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/1988 | Schedule APDF page 22 |
| 4 | TAYLOR STOCKWELL BODMANPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/1999 | Schedule APDF page 22 |
| 5 | DOUGLAS AIDAN DONAHUEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/1990 | Schedule APDF page 22 |
| 6 | HAMPTON SIMPSON LYNCHPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/1994 | Schedule APDF page 22 |
| 7 | WILLIAM CARTER SULLIVANPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2000 | Schedule APDF page 22 |
| 8 | ANDREW JAMES FRANCIS TUCKERPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/1998 | Schedule APDF page 22 |
| 9 | WILLIAM BROPHY TYREEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2001 | Schedule APDF page 22 |
| 10 | WILLIAM JOSEPH WHELANPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2000 | Schedule APDF page 22 |
| 11 | CHARLES OWEN IZARDPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2004 | Schedule APDF page 22 |
| 12 | YUKINORI NMN NAGAHISAPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2004 | Schedule APDF page 22 |
| 13 | THOMAS ERIC BERKPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2005 | Schedule APDF page 22 |
| 14 | KATHRYN CAROLYN GEORGEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2007 | Schedule APDF page 22 |
| 15 | MAROA DEL CARMEN VELEZPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2008 | Schedule APDF page 22 |
| 16 | GEOFFREY MACKENZIE COOKPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2009 | Schedule APDF page 22 |
| 17 | KEVIN W STONEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2009 | Schedule APDF page 22 |
| 18 | SEAN NMN PAIRCEIRPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2010 | Schedule APDF page 22 |
| 19 | JEFFREY BRYAN MESKINPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2011 | Schedule APDF page 22 |
| 20 | CHRISTOPHER CHARLES REMONDIPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | 5% to less than 10%Code A | Yes | PARTNER01/2012 | Schedule APDF page 22 |
| 21 | GREGORY SCOTT STEIERTAX-EXEMPT FIXED INCOME MANAGERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | TAX-EXEMPT FIXED INCOME MANAGER06/2014 | Schedule APDF page 22 |
| 22 | JEAN MARC CREPINPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2015 | Schedule APDF page 22 |
| 23 | PAUL FRANCIS GALLAGHERCHIEF COMPLIANCE OFFICERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER10/2015 | Schedule APDF page 22 |
| 24 | DANIEL JOSEPH GREIFENKAMPPRESIDENTIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | PRESIDENT01/2016 | Schedule APDF page 22 |
| 25 | VINCENT G D'ANGELOCHIEF RISK OFFICERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | CHIEF RISK OFFICER06/2017 | Schedule APDF page 22 |
| 26 | GAVIN SCOTT CLEMONSPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2019 | Schedule APDF page 22 |
| 27 | Suzanne Elizabeth BrennerPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2019 | Schedule APDF page 22 |
| 28 | LORRIE LYNN GORDONPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2019 | Schedule APDF page 22 |
| 29 | MICHAEL JAMES MCDONALDPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2019 | Schedule APDF page 22 |
| 30 | VALENTINO DINO CARLOTTIPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2021 | Schedule APDF page 22 |
| 31 | NORIYASU NMN SONOBEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2021 | Schedule APDF page 22 |
| 32 | HOUDA LEENA KALLASHCHIEF LEGAL OFFICERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | CHIEF LEGAL OFFICER03/2021 | Schedule APDF page 22 |
| 33 | TIMOTHY FENN HARRISEQUITY MANAGERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | EQUITY MANAGER07/2021 | Schedule APDF page 22 |
| 34 | THOMAS JAMES DAVISPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2023 | Schedule APDF page 22 |
| 35 | Christopher Neil Averill GothardPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2023 | Schedule APDF page 22 |
| 36 | JUSTIN V. REEDPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2023 | Schedule APDF page 22 |
| 37 | SCOTT R. HILLEQUITY MANAGERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | EQUITY MANAGER01/2024 | Schedule APDF page 22 |
| 38 | CHRISTIAN MICHAEL BRUNETPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 22 |
| 39 | HILARY MARTELL CAPAYPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 23 |
| 40 | Orla E FoleyPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 23 |
| 41 | NEIL M HOHMANNPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 23 |
| 42 | WILLIAM HAMPTON HYDERPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 23 |
| 43 | BRADLEY M LANGERPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2024 | Schedule APDF page 23 |
| 44 | BBH PRINCIPALS LPPARTNERDomestic entity | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER05/2023 | Schedule APDF page 23 |
| 45 | Lewis Justice HartPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2025 | Schedule APDF page 23 |
| 46 | CHRISTOPHER JOHN MCCABEPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2025 | Schedule APDF page 23 |
| 47 | MATTHEW EDWARD HYMANTAX-EXEMPT FIXED INCOME MANAGERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | TAX-EXEMPT FIXED INCOME MANAGER01/2025 | Schedule APDF page 23 |
| 48 | SHAWN RAY MCNINCHPARTNERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | Yes | PARTNER01/2026 | Schedule APDF page 23 |
| 49 | Declan P CoyneCHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATION OFFICERIndividual | BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT | Less than 5%Code NA | No | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATION OFFICER12/2025 | Schedule APDF page 23 |
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 10:29:25 AM
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.