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FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City: State: Country: ZIP+4/Postal Code:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8450 FALLS OF NEUSE RD.
Number and Street 2:
SUITE 206
City:
RALEIGH
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27615
If this address is a private residence, check this box:
Telephone Number:
919-405-3800
Facsimile number, if any:
919-405-2427
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7701 SOUTHERN DRIVE
Number and Street 2:
SUITE C
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4825 EP TRUE PARKWAY
Number and Street 2:
SUITE 108
City:
WEST DES MOINES
State:
Iowa
Country:
United States
ZIP+4/Postal Code:
50265
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8450 FALLS OF NEUSE RD.
Number and Street 2:
SUITE 206
City:
RALEIGH
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27615
If this address is a private residence, check this box:
Telephone Number:
919-405-3800
Facsimile number, if any:
919-405-2427
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7701 SOUTHERN DRIVE
Number and Street 2:
SUITE C
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4825 EP TRUE PARKWAY
Number and Street 2:
SUITE 108
City:
WEST DES MOINES
State:
Iowa
Country:
United States
ZIP+4/Postal Code:
50265
If this address is a private residence, check this box:
Telephone Number:
515-223-0322
Facsimile number, if any:
515-223-0315
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
601 NORTH MAIN STREET
Number and Street 2:
City:
EAST LONGMEADOW
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01028
If this address is a private residence, check this box:
Telephone Number:
(413) 271-1147
Facsimile number, if any:
(413) 271-1146
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1301 GERVAIS STREET
Number and Street 2:
SUITE 405
City:
COLUMBIA
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29201
If this address is a private residence, check this box:
Telephone Number:
(803) 865-7666
Facsimile number, if any:
(803) 753-9103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8450 FALLS OF NEUSE RD.
Number and Street 2:
SUITE 206
City:
RALEIGH
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27615
If this address is a private residence, check this box:
Telephone Number:
919-405-3800
Facsimile number, if any:
919-405-2427
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7701 SOUTHERN DRIVE
Number and Street 2:
SUITE C
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4825 EP TRUE PARKWAY
Number and Street 2:
SUITE 108
City:
WEST DES MOINES
State:
Iowa
Country:
United States
ZIP+4/Postal Code:
50265
If this address is a private residence, check this box:
Telephone Number:
515-223-0322
Facsimile number, if any:
515-223-0315
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
601 NORTH MAIN STREET
Number and Street 2:
City:
EAST LONGMEADOW
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01028
If this address is a private residence, check this box:
Telephone Number:
(413) 271-1147
Facsimile number, if any:
(413) 271-1146
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1301 GERVAIS STREET
Number and Street 2:
SUITE 405
City:
COLUMBIA
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29201
If this address is a private residence, check this box:
Telephone Number:
(803) 865-7666
Facsimile number, if any:
(803) 753-9103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1200 EAST PARIS AVENUE SE
Number and Street 2:
SUITE 7
City:
GRAND RAPIDS
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
49546
If this address is a private residence, check this box:
Telephone Number:
(616) 949-5959
Facsimile number, if any:
(616) 949-6040
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2400 E. KATELLA AVE.
Number and Street 2:
SUITE 410
City:
ANAHEIM
State:
California
Country:
United States
ZIP+4/Postal Code:
92806
If this address is a private residence, check this box:
Telephone Number:
714-464-1512
Facsimile number, if any:
310-525-3321
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6933 PRESTON AVE.
Number and Street 2:
City:
LIVERMORE
State:
California
Country:
United States
ZIP+4/Postal Code:
94551
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8450 FALLS OF NEUSE RD.
Number and Street 2:
SUITE 206
City:
RALEIGH
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27615
If this address is a private residence, check this box:
Telephone Number:
919-405-3800
Facsimile number, if any:
919-405-2427
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7701 SOUTHERN DRIVE
Number and Street 2:
SUITE C
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4825 EP TRUE PARKWAY
Number and Street 2:
SUITE 108
City:
WEST DES MOINES
State:
Iowa
Country:
United States
ZIP+4/Postal Code:
50265
If this address is a private residence, check this box:
Telephone Number:
515-223-0322
Facsimile number, if any:
515-223-0315
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
601 NORTH MAIN STREET
Number and Street 2:
City:
EAST LONGMEADOW
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01028
If this address is a private residence, check this box:
Telephone Number:
(413) 271-1147
Facsimile number, if any:
(413) 271-1146
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1301 GERVAIS STREET
Number and Street 2:
SUITE 405
City:
COLUMBIA
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29201
If this address is a private residence, check this box:
Telephone Number:
(803) 865-7666
Facsimile number, if any:
(803) 753-9103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1200 EAST PARIS AVENUE SE
Number and Street 2:
SUITE 7
City:
GRAND RAPIDS
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
49546
If this address is a private residence, check this box:
Telephone Number:
(616) 949-5959
Facsimile number, if any:
(616) 949-6040
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2400 E. KATELLA AVE.
Number and Street 2:
SUITE 410
City:
ANAHEIM
State:
California
Country:
United States
ZIP+4/Postal Code:
92806
If this address is a private residence, check this box:
Telephone Number:
714-464-1512
Facsimile number, if any:
310-525-3321
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6933 PRESTON AVE.
Number and Street 2:
City:
LIVERMORE
State:
California
Country:
United States
ZIP+4/Postal Code:
94551
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
GLOBAL RELAY
Number and Street 1:
286 MADISON AVENUE
Number and Street 2:
7TH FLOOR
City:
NEW YORK
State:
New York
Country:
United States
ZIP+4/Postal Code:
10017
If this address is a private residence, check this box:
Telephone Number:
866-484-6630
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1650 HIGHWAY 6 SOUTH
Number and Street 2:
SUITE 100
City:
SUGAR LAND
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77478
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510
Other-Than-Annual Amendment - All Sections Rev. 03/2020
7/22/2021 2:21:44 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must
keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be
provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
FINANCIAL ENGINES ADVISORS L.L.C.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
FINANCIAL ENGINES ADVISORS L.L.C.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1:
3315 SCOTT BLVD
Number and Street 2:
4TH FLOOR
City:
SANTA CLARA
State:
California
Country:
United States
ZIP+4/Postal Code:
95054
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for
registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with
whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list
the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00 A.M. - 5:00 P.M.
(3) Telephone number at this location:
408-498-6000
(4) Facsimile number at this location, if any:
408-498-6010
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most
recently completed fiscal year?
156
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website
address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other
information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do
not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media
platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief
Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment
Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you
may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your
principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"
complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown
on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.
Name: EDELMAN FINANCIAL ENGINES
Jurisdictions
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
WY
Other:
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
913-319-8100
Facsimile Number, if any:
913-310-8181
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
11
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4000 LEGATO ROAD
Number and Street 2:
9TH FLOOR
City:
FAIRFAX
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22033
If this address is a private residence, check this box:
Telephone Number:
703-818-0800
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2700 PATRIOT BLVD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1130 RXR PLAZA
Number and Street 2:
SUITE 1130
City:
UNIONDALE
State:
New York
Country:
United States
ZIP+4/Postal Code:
11556
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
916-780-5353
Facsimile Number, if any:
916-960-2590
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile Number, if any:
617-556-2333
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
12510 PROSPERITY DR
Number and Street 2:
SUITE 350
City:
SILVER SPRING
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20904
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
19775 BELMONT EXECUTIVE PLAZA
Number and Street 2:
SUITE 300
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
8
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
328 NEWMAN SPRINGS ROAD
Number and Street 2:
SUITE #1
City:
RED BANK
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07701
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1800 DIAGONAL ROAD
Number and Street 2:
SUITE 480
City:
ALEXANDRIA
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22314
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
13
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 ANTON BLVD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
6550 ROCK SPRING DRIVE
Number and Street 2:
SUITE 510
City:
BETHESDA
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
20817
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
610-239-8323
Facsimile Number, if any:
610-239-8335
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
18851 NE 29TH AVE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1750 TYSONS BOULEVARD
Number and Street 2:
SUITE 910
City:
TYSONS CORNER
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22102
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
7900 GLADES ROAD
Number and Street 2:
SUITE 310
City:
BOCA RATON
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33434
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
25 BURLINGTON MALL ROAD
Number and Street 2:
SUITE 405
City:
BURLINGTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01803
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
10
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
57 WELLS AVENUE
Number and Street 2:
SUITE 31
City:
NEWTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02459
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1 EASTON OVAL
Number and Street 2:
SUITE 340
City:
COLUMBUS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43219
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
7
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
39555 ORCHARD HILL PLACE
Number and Street 2:
SUITE 365
City:
NOVI
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48375
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
5
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
602-522-4100
Facsimile Number, if any:
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
96
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1515 WEST 22ND STREET
Number and Street 2:
SUITE 850W
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
9
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
1390 TIMBERLAKE MANOR PKWY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
636-530-1884
Facsimile Number, if any:
636-530-1887
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a
separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only
the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1:
650 FROM ROAD
Number and Street 2:
SUITE 460
City:
PARAMUS
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
07652
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile Number, if any:
703-818-1910
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform
Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
6
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,
Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo
Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate
Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8342 PERKINS RD.
Number and Street 2:
SUITE M
City:
BATON ROUGE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70810
If this address is a private residence, check this box:
Telephone Number:
(225) 291-7878
Facsimile number, if any:
(225) 291-7957
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39425 GARFIELD RD
Number and Street 2:
SUITE 25
City:
CLINTON TOWNSHIP
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48308
If this address is a private residence, check this box:
Telephone Number:
(586) 978-7998
Facsimile number, if any:
(586) 978-7996
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1000 BALD HILL ROAD
Number and Street 2:
SUITE 5
City:
WARWICK
State:
Rhode Island
Country:
United States
ZIP+4/Postal Code:
02886
If this address is a private residence, check this box:
Telephone Number:
(401) 921-3331
Facsimile number, if any:
(401) 615-1538
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6565 AMERICAS PARKWAY NE
Number and Street 2:
SUITE 850
City:
ALBUQUERQUE
State:
New Mexico
Country:
United States
ZIP+4/Postal Code:
87110
If this address is a private residence, check this box:
Telephone Number:
(505) 888-0303
Facsimile number, if any:
(505) 880-0303
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
36040 DETROIT ROAD
Number and Street 2:
SUITE E
City:
AVON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44011
If this address is a private residence, check this box:
Telephone Number:
(440) 934-6565
Facsimile number, if any:
(440) 934-8025
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1111 NORTH NORTHSHORE DRIVE
Number and Street 2:
SUITE S-200
City:
KNOXVILLE
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37919
If this address is a private residence, check this box:
Telephone Number:
865-671-4900
Facsimile number, if any:
865-671-6080
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8450 FALLS OF NEUSE RD.
Number and Street 2:
SUITE 206
City:
RALEIGH
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27615
If this address is a private residence, check this box:
Telephone Number:
919-405-3800
Facsimile number, if any:
919-405-2427
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7701 SOUTHERN DRIVE
Number and Street 2:
SUITE C
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4825 EP TRUE PARKWAY
Number and Street 2:
SUITE 108
City:
WEST DES MOINES
State:
Iowa
Country:
United States
ZIP+4/Postal Code:
50265
If this address is a private residence, check this box:
Telephone Number:
515-223-0322
Facsimile number, if any:
515-223-0315
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
601 NORTH MAIN STREET
Number and Street 2:
City:
EAST LONGMEADOW
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
01028
If this address is a private residence, check this box:
Telephone Number:
(413) 271-1147
Facsimile number, if any:
(413) 271-1146
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1301 GERVAIS STREET
Number and Street 2:
SUITE 405
City:
COLUMBIA
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29201
If this address is a private residence, check this box:
Telephone Number:
(803) 865-7666
Facsimile number, if any:
(803) 753-9103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1200 EAST PARIS AVENUE SE
Number and Street 2:
SUITE 7
City:
GRAND RAPIDS
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
49546
If this address is a private residence, check this box:
Telephone Number:
(616) 949-5959
Facsimile number, if any:
(616) 949-6040
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2400 E. KATELLA AVE.
Number and Street 2:
SUITE 410
City:
ANAHEIM
State:
California
Country:
United States
ZIP+4/Postal Code:
92806
If this address is a private residence, check this box:
Telephone Number:
714-464-1512
Facsimile number, if any:
310-525-3321
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6933 PRESTON AVE.
Number and Street 2:
City:
LIVERMORE
State:
California
Country:
United States
ZIP+4/Postal Code:
94551
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
GLOBAL RELAY
Number and Street 1:
286 MADISON AVENUE
Number and Street 2:
7TH FLOOR
City:
NEW YORK
State:
New York
Country:
United States
ZIP+4/Postal Code:
10017
If this address is a private residence, check this box:
Telephone Number:
866-484-6630
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1650 HIGHWAY 6 SOUTH
Number and Street 2:
SUITE 100
City:
SUGAR LAND
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77478
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2901 DOUGLAS BLVD
Number and Street 2:
SUITE 250
City:
ROSEVILLE
State:
California
Country:
United States
ZIP+4/Postal Code:
95661
If this address is a private residence, check this box:
Telephone Number:
(916) 780-5353
Facsimile number, if any:
(916) 960-2590
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
457 HADDONFIELD ROAD
Number and Street 2:
SUITE 310
City:
CHERRY HILL
State:
New Jersey
Country:
United States
ZIP+4/Postal Code:
08002
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates. one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
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Telephone Number:
866-762-7741
Facsimile number, if any:
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
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Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
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Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
one of your branch offices or affiliates.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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other.
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STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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other.
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OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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other.
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SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
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Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
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Telephone Number:
866-762-7741
Facsimile number, if any:
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
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Telephone Number:
713-877-0200
Facsimile number, if any:
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
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SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
If this address is a private residence, check this box:
Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3780 GREEN MOUNT CROSSING DR.
Number and Street 2:
City:
SHILOH
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
62269
If this address is a private residence, check this box:
Telephone Number:
(618) 632-2525
Facsimile number, if any:
(618) 632-2552
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6327 WILSON MILLS ROAD
Number and Street 2:
City:
HIGHLAND HEIGHTS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44143
If this address is a private residence, check this box:
Telephone Number:
(440) 919-2000
Facsimile number, if any:
(440) 919-2001
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18851 NE 29TH AVENUE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
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STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
If this address is a private residence, check this box:
Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3780 GREEN MOUNT CROSSING DR.
Number and Street 2:
City:
SHILOH
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
62269
If this address is a private residence, check this box:
Telephone Number:
(618) 632-2525
Facsimile number, if any:
(618) 632-2552
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6327 WILSON MILLS ROAD
Number and Street 2:
City:
HIGHLAND HEIGHTS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44143
If this address is a private residence, check this box:
Telephone Number:
(440) 919-2000
Facsimile number, if any:
(440) 919-2001
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18851 NE 29TH AVENUE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3051 AKERS MILL RD SE
Number and Street 2:
SUITE 110
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30339
If this address is a private residence, check this box:
Telephone Number:
(770) 419-8989
Facsimile number, if any:
(770) 419-8990
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8555 N. RIVER ROAD
Number and Street 2:
SUITE 350
City:
INDIANAPOLIS
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46240
If this address is a private residence, check this box:
Telephone Number:
(317) 579-0700
Facsimile number, if any:
(317) 579-0715
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
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OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
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other.
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SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
If this address is a private residence, check this box:
Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3780 GREEN MOUNT CROSSING DR.
Number and Street 2:
City:
SHILOH
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
62269
If this address is a private residence, check this box:
Telephone Number:
(618) 632-2525
Facsimile number, if any:
(618) 632-2552
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6327 WILSON MILLS ROAD
Number and Street 2:
City:
HIGHLAND HEIGHTS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44143
If this address is a private residence, check this box:
Telephone Number:
(440) 919-2000
Facsimile number, if any:
(440) 919-2001
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18851 NE 29TH AVENUE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3051 AKERS MILL RD SE
Number and Street 2:
SUITE 110
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30339
If this address is a private residence, check this box:
Telephone Number:
(770) 419-8989
Facsimile number, if any:
(770) 419-8990
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8555 N. RIVER ROAD
Number and Street 2:
SUITE 350
City:
INDIANAPOLIS
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46240
If this address is a private residence, check this box:
Telephone Number:
(317) 579-0700
Facsimile number, if any:
(317) 579-0715
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
8001 RESEARCH WAY
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22153
If this address is a private residence, check this box:
Telephone Number:
703-455-1467
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
IT BACK-UP TAPES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 DONEGAL DRIVE
Number and Street 2:
SUITE 40
City:
WOODBURY
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55125
If this address is a private residence, check this box:
Telephone Number:
(651) 714-9505
Facsimile number, if any:
(651) 714-9502
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1499 WINDHORST WAY
Number and Street 2:
SUITE 210
City:
GREENWOOD
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46143
If this address is a private residence, check this box:
Telephone Number:
(317) 851-8417
Facsimile number, if any:
(317) 851-8572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
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Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
If this address is a private residence, check this box:
Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
If this address is a private residence, check this box:
Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
If this address is a private residence, check this box:
Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
If this address is a private residence, check this box:
Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3780 GREEN MOUNT CROSSING DR.
Number and Street 2:
City:
SHILOH
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
62269
If this address is a private residence, check this box:
Telephone Number:
(618) 632-2525
Facsimile number, if any:
(618) 632-2552
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6327 WILSON MILLS ROAD
Number and Street 2:
City:
HIGHLAND HEIGHTS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44143
If this address is a private residence, check this box:
Telephone Number:
(440) 919-2000
Facsimile number, if any:
(440) 919-2001
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18851 NE 29TH AVENUE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3051 AKERS MILL RD SE
Number and Street 2:
SUITE 110
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30339
If this address is a private residence, check this box:
Telephone Number:
(770) 419-8989
Facsimile number, if any:
(770) 419-8990
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8555 N. RIVER ROAD
Number and Street 2:
SUITE 350
City:
INDIANAPOLIS
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46240
If this address is a private residence, check this box:
Telephone Number:
(317) 579-0700
Facsimile number, if any:
(317) 579-0715
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
8001 RESEARCH WAY
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22153
If this address is a private residence, check this box:
Telephone Number:
703-455-1467
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
IT BACK-UP TAPES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 DONEGAL DRIVE
Number and Street 2:
SUITE 40
City:
WOODBURY
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55125
If this address is a private residence, check this box:
Telephone Number:
(651) 714-9505
Facsimile number, if any:
(651) 714-9502
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1499 WINDHORST WAY
Number and Street 2:
SUITE 210
City:
GREENWOOD
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46143
If this address is a private residence, check this box:
Telephone Number:
(317) 851-8417
Facsimile number, if any:
(317) 851-8572
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9747 E. 21ST ST. N.
Number and Street 2:
SUITE 123
City:
WICHITA
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
67206
If this address is a private residence, check this box:
Telephone Number:
316-260-5200
Facsimile number, if any:
316-260-8959
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1605 CARMODY COURT
Number and Street 2:
SUITE 100
City:
SEWICKLEY
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
15143
If this address is a private residence, check this box:
Telephone Number:
(724) 779-7795
Facsimile number, if any:
(724) 779-2258
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
22308 MIDLAND DR
Number and Street 2:
City:
SHAWNEE
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66226
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
573 NORTH 155TH PLAZA
Number and Street 2:
City:
OMAHA
State:
Nebraska
Country:
United States
ZIP+4/Postal Code:
68154
If this address is a private residence, check this box:
Telephone Number:
(402) 896-6464
Facsimile number, if any:
(402) 896-0189
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SMARSH
Number and Street 1:
851 SW 6TH AVE
Number and Street 2:
SUITE 800
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97204
If this address is a private residence, check this box:
Telephone Number:
866-762-7741
Facsimile number, if any:
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 MEDINA RD.
Number and Street 2:
SUITE Q
City:
AKRON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44333
If this address is a private residence, check this box:
Telephone Number:
(330) 576-6150
Facsimile number, if any:
(330) 576-6366
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
N16W23217 STONE RIDGE DRIVE
Number and Street 2:
SUITE 100
City:
WAUKESHA
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53188
If this address is a private residence, check this box:
Telephone Number:
(262) 717-0022
Facsimile number, if any:
(262) 717-9579
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2505 S. 320TH ST
Number and Street 2:
SUITE 220
City:
FEDERAL WAY
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98003
If this address is a private residence, check this box:
Telephone Number:
253-529-3322
Facsimile number, if any:
253-529-3388
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7726 SOUTHERN DRIVE
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
2702 JEFFERSON DAVIS HIGHWAY
Number and Street 2:
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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INVESTMENT ADVISORY TRADING AND CLIENT FILES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1331 GEMINI AVENUE
Number and Street 2:
SUITE 200-A
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77058
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3592-101 SPRINGHURST BLVD.
Number and Street 2:
City:
LOUISVILLE
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40241
If this address is a private residence, check this box:
Telephone Number:
(502) 425-2512
Facsimile number, if any:
(502) 425-2572
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
SUMMIT WOODS I BUILDING
Number and Street 2:
100 EAST BUSINESS WAY SUITE 360
City:
CINCINNATI
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45241
If this address is a private residence, check this box:
Telephone Number:
(513) 985-0100
Facsimile number, if any:
(513) 985-0013
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2700 PATRIOT BOULEVARD
Number and Street 2:
SUITE 120
City:
GLENVIEW
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60026
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4383 OLD HARRODSBURG ROAD
Number and Street 2:
SUITE 125
City:
LEXINGTON
State:
Kentucky
Country:
United States
ZIP+4/Postal Code:
40513
If this address is a private residence, check this box:
Telephone Number:
(859) 317-2747
Facsimile number, if any:
(866) 558-9257
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4350 WEST CYPRESS ST
Number and Street 2:
SUITE 101
City:
TAMPA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33607
If this address is a private residence, check this box:
Telephone Number:
(813) 661-1717
Facsimile number, if any:
(813) 870-0101
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2890 E. DUPONT ROAD
Number and Street 2:
City:
FORT WAYNE
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46825
If this address is a private residence, check this box:
Telephone Number:
(260) 459-3939
Facsimile number, if any:
(260) 459-8434
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3531 W. MEMORIAL ROAD
Number and Street 2:
CROSS ROCK SHOPS
City:
OKLAHOMA CITY
State:
Oklahoma
Country:
United States
ZIP+4/Postal Code:
73134
If this address is a private residence, check this box:
Telephone Number:
405-418-2626
Facsimile number, if any:
405-418-2629
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 SATELLITE BOULEVARD
Number and Street 2:
SUITE 3500
City:
DULUTH
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30097
If this address is a private residence, check this box:
Telephone Number:
(678) 714-4900
Facsimile number, if any:
(678) 714-4901
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8752 E. SHEA BLVD.
Number and Street 2:
SUITE 130
City:
SCOTTSDALE
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85260
If this address is a private residence, check this box:
Telephone Number:
(480) 946-3626
Facsimile number, if any:
(480) 951-7731
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
DATAPROS
Number and Street 1:
23042 N. 15TH LANE
Number and Street 2:
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85027
If this address is a private residence, check this box:
Telephone Number:
623-434-0748
Facsimile number, if any:
623-434-0754
This is (check one):
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other.
Briefly describe the books and records kept at this location.
STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
277 BENDIX RD
Number and Street 2:
SUITE 150
City:
VIRGINIA BEACH
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23452
If this address is a private residence, check this box:
Telephone Number:
(757) 201-7444
Facsimile number, if any:
(757) 201-7338
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
6601 S. LABURNUM AVENUE
Number and Street 2:
SUITE F
City:
RICHMOND
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23231
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
475 W. DUSSEL DRIVE
Number and Street 2:
City:
MAUMEE
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43537
If this address is a private residence, check this box:
Telephone Number:
(419) 897-2222
Facsimile number, if any:
(419) 897-2215
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3021 BUTTERFIELD ROAD
Number and Street 2:
SUITE 202
City:
OAK BROOK
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60523
If this address is a private residence, check this box:
Telephone Number:
(630) 368-1818
Facsimile number, if any:
(630) 368-1817
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
KC UNDERGROUND VAULTS AND STORAGE
Number and Street 1:
8600 NE UNDERGROUND DRIVE
Number and Street 2:
PILLAR 146
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64161
If this address is a private residence, check this box:
Telephone Number:
816-455-2640
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
1625 W. NATIONAL DRIVE
Number and Street 2:
City:
SACRAMENTO
State:
California
Country:
United States
ZIP+4/Postal Code:
95834
If this address is a private residence, check this box:
Telephone Number:
916-286-3000
Facsimile number, if any:
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
7706 SOUTHERN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22150
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
20700 44TH AVE WEST
Number and Street 2:
SUITE 240
City:
LYNNWOOD
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98036
If this address is a private residence, check this box:
Telephone Number:
425-918-1414
Facsimile number, if any:
425-918-1441
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5080 TUTTLE CROSSING BLVD
Number and Street 2:
SUITE 350
City:
DUBLIN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
43016
If this address is a private residence, check this box:
Telephone Number:
(614) 717-0707
Facsimile number, if any:
(614) 717-0757
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
5015 CAMPUSWOOD DRIVE
Number and Street 2:
SUITE 201
City:
EAST SYRACUSE
State:
New York
Country:
United States
ZIP+4/Postal Code:
13057
If this address is a private residence, check this box:
Telephone Number:
(315) 453-8080
Facsimile number, if any:
(315) 453-8008
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
19026 RIDGEWOOD PKWY
Number and Street 2:
SUITE 316
City:
SAN ANTONIO
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78259
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
866-742-7222
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
200 WESTGATE PARKWAY
Number and Street 2:
SUITE 202
City:
HENRICO
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23233
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
900 BESTGATE ROAD
Number and Street 2:
SUITE 407
City:
ANNAPOLIS
State:
Maryland
Country:
United States
ZIP+4/Postal Code:
21401
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
22445 RANDOLPH DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10100 INNOVATION DRIVE
Number and Street 2:
SUITE 160
City:
DAYTON
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
45342
If this address is a private residence, check this box:
Telephone Number:
(937) 431-1925
Facsimile number, if any:
(937) 431-5515
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2501 WEST BELTLINE HIGHWAY
Number and Street 2:
SUITE 103
City:
MADISON
State:
Wisconsin
Country:
United States
ZIP+4/Postal Code:
53713
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Telephone Number:
(608) 234-5121
Facsimile number, if any:
(608) 237-3109
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6242 POPLAR AVE
Number and Street 2:
City:
MEMPHIS
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
38119
If this address is a private residence, check this box:
Telephone Number:
(901) 751-7272
Facsimile number, if any:
(901) 205-0531
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4301 HACIENDA DRIVE
Number and Street 2:
SUITE 100
City:
PLEASANTON
State:
California
Country:
United States
ZIP+4/Postal Code:
94588
If this address is a private residence, check this box:
Telephone Number:
(925) 227-0555
Facsimile number, if any:
(925) 737-0395
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4401 LEEDS AVE.
Number and Street 2:
SUITE 225
City:
NORTH CHARLESTON
State:
South Carolina
Country:
United States
ZIP+4/Postal Code:
29405
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Telephone Number:
843-952-2135
Facsimile number, if any:
843-790-5549
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
403 GLENN DRIVE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20164
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Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
500 108TH AVENUE NE
Number and Street 2:
SUITE 1840
City:
BELLEVUE
State:
Washington
Country:
United States
ZIP+4/Postal Code:
98004
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Telephone Number:
425-247-2956
Facsimile number, if any:
425-453-1345
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
39775 TRADITIONS DRIVE
Number and Street 2:
SUITE D-800
City:
NORTHVILLE
State:
Michigan
Country:
United States
ZIP+4/Postal Code:
48168
If this address is a private residence, check this box:
Telephone Number:
(248) 348-3535
Facsimile number, if any:
(248) 348-3555
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
7201 W. LAKE MEAD BLVD
Number and Street 2:
SUITE 110
City:
LAS VEGAS
State:
Nevada
Country:
United States
ZIP+4/Postal Code:
89128
If this address is a private residence, check this box:
Telephone Number:
(702) 651-6464
Facsimile number, if any:
(702) 651-9015
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
12958 MIDWAY PLACE
Number and Street 2:
City:
CERRITOS
State:
California
Country:
United States
ZIP+4/Postal Code:
90703
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
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BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 ANTON BOULEVARD
Number and Street 2:
SUITE 1750
City:
COSTA MESA
State:
California
Country:
United States
ZIP+4/Postal Code:
92626
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3595 GRANDVIEW PARKWAY
Number and Street 2:
SUITE 475
City:
BIRMINGHAM
State:
Alabama
Country:
United States
ZIP+4/Postal Code:
35243
If this address is a private residence, check this box:
Telephone Number:
(205) 403-9200
Facsimile number, if any:
(205) 403-9133
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3355 LENOX ROAD
Number and Street 2:
SUITE 950
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30326
If this address is a private residence, check this box:
Telephone Number:
(404) 602-5200
Facsimile number, if any:
(470) 225-8252
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9423 N. FORT WASHINGTON RD.
Number and Street 2:
SUITE 104
City:
FRESNO
State:
California
Country:
United States
ZIP+4/Postal Code:
93730
If this address is a private residence, check this box:
Telephone Number:
559-434-9800
Facsimile number, if any:
559-434-9804
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2825 EAST COTTONWOOD PARKWAY
Number and Street 2:
SUITE 460
City:
SALT LAKE CITY
State:
Utah
Country:
United States
ZIP+4/Postal Code:
84121
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1317 NE DOUGLAS ST
Number and Street 2:
City:
LEE'S SUMMIT
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64086
If this address is a private residence, check this box:
Telephone Number:
816-347-0200
Facsimile number, if any:
816-347-0227
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1120 W. 122ND AVE
Number and Street 2:
SUITE 300
City:
WESTMINSTER
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80234
If this address is a private residence, check this box:
Telephone Number:
(303) 280-0626
Facsimile number, if any:
(303) 280-2385
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2500 WEST WILLIAM CANNON DRIVE
Number and Street 2:
SUITE 804
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78745
If this address is a private residence, check this box:
Telephone Number:
(512) 329-6620
Facsimile number, if any:
(512) 382-6183
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
11006 RUSHMORE DRIVE
Number and Street 2:
SUITE 175
City:
CHARLOTTE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
28277
If this address is a private residence, check this box:
Telephone Number:
(704) 553-9553
Facsimile number, if any:
(704) 553-9496
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
309 CLIFTON PARK CENTER RD
Number and Street 2:
SUITE 10
City:
CLIFTON PARK
State:
New York
Country:
United States
ZIP+4/Postal Code:
12065
If this address is a private residence, check this box:
Telephone Number:
(518) 371-2004
Facsimile number, if any:
(518) 371-1916
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
520 EASTPARK COURT
Number and Street 2:
SUITE 190
City:
SANDSTON
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
23234
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3780 GREEN MOUNT CROSSING DR.
Number and Street 2:
City:
SHILOH
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
62269
If this address is a private residence, check this box:
Telephone Number:
(618) 632-2525
Facsimile number, if any:
(618) 632-2552
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6327 WILSON MILLS ROAD
Number and Street 2:
City:
HIGHLAND HEIGHTS
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44143
If this address is a private residence, check this box:
Telephone Number:
(440) 919-2000
Facsimile number, if any:
(440) 919-2001
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18851 NE 29TH AVENUE
Number and Street 2:
SUITE 501
City:
AVENTURA
State:
Florida
Country:
United States
ZIP+4/Postal Code:
33180
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3051 AKERS MILL RD SE
Number and Street 2:
SUITE 110
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30339
If this address is a private residence, check this box:
Telephone Number:
(770) 419-8989
Facsimile number, if any:
(770) 419-8990
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8555 N. RIVER ROAD
Number and Street 2:
SUITE 350
City:
INDIANAPOLIS
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46240
If this address is a private residence, check this box:
Telephone Number:
(317) 579-0700
Facsimile number, if any:
(317) 579-0715
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
8001 RESEARCH WAY
Number and Street 2:
City:
SPRINGFIELD
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
22153
If this address is a private residence, check this box:
Telephone Number:
703-455-1467
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
IT BACK-UP TAPES
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1960 DONEGAL DRIVE
Number and Street 2:
SUITE 40
City:
WOODBURY
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55125
If this address is a private residence, check this box:
Telephone Number:
(651) 714-9505
Facsimile number, if any:
(651) 714-9502
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1499 WINDHORST WAY
Number and Street 2:
SUITE 210
City:
GREENWOOD
State:
Indiana
Country:
United States
ZIP+4/Postal Code:
46143
If this address is a private residence, check this box:
Telephone Number:
(317) 851-8417
Facsimile number, if any:
(317) 851-8572
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9747 E. 21ST ST. N.
Number and Street 2:
SUITE 123
City:
WICHITA
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
67206
If this address is a private residence, check this box:
Telephone Number:
316-260-5200
Facsimile number, if any:
316-260-8959
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1605 CARMODY COURT
Number and Street 2:
SUITE 100
City:
SEWICKLEY
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
15143
If this address is a private residence, check this box:
Telephone Number:
(724) 779-7795
Facsimile number, if any:
(724) 779-2258
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
22308 MIDLAND DR
Number and Street 2:
City:
SHAWNEE
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66226
If this address is a private residence, check this box:
Telephone Number:
913-422-4800
Facsimile number, if any:
913-422-4801
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
RAGINGWIRE
Number and Street 1:
44664 GUILFORD DRIVE
Number and Street 2:
City:
ASHBURN
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20147
If this address is a private residence, check this box:
Telephone Number:
703-840-7720
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
PRIMARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT HOUSES ITS SERVERS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2308 PATTON ROAD
Number and Street 2:
SUITE G
City:
HARRISBURG
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
17112
If this address is a private residence, check this box:
Telephone Number:
717-540-7992
Facsimile number, if any:
717-540-7994
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1: Number and Street 2:
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1: Number and Street 2:
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8889 PELICAN BAY BLVD
Number and Street 2:
SUITE 401
City:
NAPLES
State:
Florida
Country:
United States
ZIP+4/Postal Code:
34108
If this address is a private residence, check this box:
Telephone Number:
239-920-5831
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1835 E REPUBLIC RD
Number and Street 2:
SUITE 104
City:
SPRINGFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
65804
If this address is a private residence, check this box:
Telephone Number:
417-889-9997
Facsimile number, if any:
417-889-7550
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6500 SHERIDAN DRIVE
Number and Street 2:
SUITE 110
City:
AMHERST
State:
New York
Country:
United States
ZIP+4/Postal Code:
14221
If this address is a private residence, check this box:
Telephone Number:
(716) 832-0035
Facsimile number, if any:
(716) 768-5310
This is (check one):
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8889 PELICAN BAY BLVD
Number and Street 2:
SUITE 401
City:
NAPLES
State:
Florida
Country:
United States
ZIP+4/Postal Code:
34108
If this address is a private residence, check this box:
Telephone Number:
239-920-5831
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1835 E REPUBLIC RD
Number and Street 2:
SUITE 104
City:
SPRINGFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
65804
If this address is a private residence, check this box:
Telephone Number:
417-889-9997
Facsimile number, if any:
417-889-7550
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6500 SHERIDAN DRIVE
Number and Street 2:
SUITE 110
City:
AMHERST
State:
New York
Country:
United States
ZIP+4/Postal Code:
14221
If this address is a private residence, check this box:
Telephone Number:
(716) 832-0035
Facsimile number, if any:
(716) 768-5310
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4865 NORTH WICKHAM ROAD
Number and Street 2:
SUITE 108
City:
MELBOURNE
State:
Florida
Country:
United States
ZIP+4/Postal Code:
32940
If this address is a private residence, check this box:
Telephone Number:
(321) 751-6162
Facsimile number, if any:
(321) 751-6169
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8610 EXPLORER DRIVE
Number and Street 2:
SUITE 120
City:
COLORADO SPRINGS
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80920
If this address is a private residence, check this box:
Telephone Number:
(719) 594-6800
Facsimile number, if any:
(719) 594-6886
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
21515 HAWTHORNE BLVD
Number and Street 2:
SUITE 580
City:
TORRANCE
State:
California
Country:
United States
ZIP+4/Postal Code:
90503
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
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other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8889 PELICAN BAY BLVD
Number and Street 2:
SUITE 401
City:
NAPLES
State:
Florida
Country:
United States
ZIP+4/Postal Code:
34108
If this address is a private residence, check this box:
Telephone Number:
239-920-5831
Facsimile number, if any:
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1835 E REPUBLIC RD
Number and Street 2:
SUITE 104
City:
SPRINGFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
65804
If this address is a private residence, check this box:
Telephone Number:
417-889-9997
Facsimile number, if any:
417-889-7550
This is (check one):
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6500 SHERIDAN DRIVE
Number and Street 2:
SUITE 110
City:
AMHERST
State:
New York
Country:
United States
ZIP+4/Postal Code:
14221
If this address is a private residence, check this box:
Telephone Number:
(716) 832-0035
Facsimile number, if any:
(716) 768-5310
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4865 NORTH WICKHAM ROAD
Number and Street 2:
SUITE 108
City:
MELBOURNE
State:
Florida
Country:
United States
ZIP+4/Postal Code:
32940
If this address is a private residence, check this box:
Telephone Number:
(321) 751-6162
Facsimile number, if any:
(321) 751-6169
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8610 EXPLORER DRIVE
Number and Street 2:
SUITE 120
City:
COLORADO SPRINGS
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80920
If this address is a private residence, check this box:
Telephone Number:
(719) 594-6800
Facsimile number, if any:
(719) 594-6886
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
21515 HAWTHORNE BLVD
Number and Street 2:
SUITE 580
City:
TORRANCE
State:
California
Country:
United States
ZIP+4/Postal Code:
90503
If this address is a private residence, check this box:
Telephone Number:
(424) 903-7477
Facsimile number, if any:
(310) 525-3321
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3950 CIVIC CENTER DRIVE
Number and Street 2:
SUITE 315
City:
SAN RAFAEL
State:
California
Country:
United States
ZIP+4/Postal Code:
94903
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SALESFORCE
Number and Street 1:
1 MARKET STREET
Number and Street 2:
SUITE 300
City:
SAN FRANCISCO
State:
California
Country:
United States
ZIP+4/Postal Code:
94105
If this address is a private residence, check this box:
Telephone Number:
415-901-7000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CLIENT RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
one of your branch offices or affiliates.
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8889 PELICAN BAY BLVD
Number and Street 2:
SUITE 401
City:
NAPLES
State:
Florida
Country:
United States
ZIP+4/Postal Code:
34108
If this address is a private residence, check this box:
Telephone Number:
239-920-5831
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
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other.
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1835 E REPUBLIC RD
Number and Street 2:
SUITE 104
City:
SPRINGFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
65804
If this address is a private residence, check this box:
Telephone Number:
417-889-9997
Facsimile number, if any:
417-889-7550
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6500 SHERIDAN DRIVE
Number and Street 2:
SUITE 110
City:
AMHERST
State:
New York
Country:
United States
ZIP+4/Postal Code:
14221
If this address is a private residence, check this box:
Telephone Number:
(716) 832-0035
Facsimile number, if any:
(716) 768-5310
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4865 NORTH WICKHAM ROAD
Number and Street 2:
SUITE 108
City:
MELBOURNE
State:
Florida
Country:
United States
ZIP+4/Postal Code:
32940
If this address is a private residence, check this box:
Telephone Number:
(321) 751-6162
Facsimile number, if any:
(321) 751-6169
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8610 EXPLORER DRIVE
Number and Street 2:
SUITE 120
City:
COLORADO SPRINGS
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80920
If this address is a private residence, check this box:
Telephone Number:
(719) 594-6800
Facsimile number, if any:
(719) 594-6886
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
21515 HAWTHORNE BLVD
Number and Street 2:
SUITE 580
City:
TORRANCE
State:
California
Country:
United States
ZIP+4/Postal Code:
90503
If this address is a private residence, check this box:
Telephone Number:
(424) 903-7477
Facsimile number, if any:
(310) 525-3321
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3950 CIVIC CENTER DRIVE
Number and Street 2:
SUITE 315
City:
SAN RAFAEL
State:
California
Country:
United States
ZIP+4/Postal Code:
94903
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SALESFORCE
Number and Street 1:
1 MARKET STREET
Number and Street 2:
SUITE 300
City:
SAN FRANCISCO
State:
California
Country:
United States
ZIP+4/Postal Code:
94105
If this address is a private residence, check this box:
Telephone Number:
415-901-7000
Facsimile number, if any:
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CLIENT RECORDS
Name of entity where books and records are kept:
CFM PARTNERS, INC.
Number and Street 1:
1701 RHODE ISLAND AVENUE, NW
Number and Street 2:
City:
WASHINGTON
State:
District of Columbia
Country:
United States
ZIP+4/Postal Code:
20036
If this address is a private residence, check this box:
Telephone Number:
202-364-7741
Facsimile number, if any:
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POLICIES AND PROCEDURES
Name of entity where books and records are kept:
REGED
Number and Street 1:
2100 GATEWAY CENTRE BLVD.
Number and Street 2:
SUITE 200
City:
MORRISVILLE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27560
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Telephone Number:
800-334-8322
Facsimile number, if any:
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RECORDS RELATED TO CODE OF ETHICS
Name of entity where books and records are kept:
MYCOMPLIANCEOFFICE
Number and Street 1:
535 FIFTH AVENUE
Number and Street 2:
4TH FLOOR
City:
NEW YORK
State:
New York
Country:
United States
ZIP+4/Postal Code:
10017
If this address is a private residence, check this box:
Telephone Number:
866-981-1558
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1449 BOARDMAN-CANFIELD RD
Number and Street 2:
SUITE 170
City:
BOARDMAN
State:
Ohio
Country:
United States
ZIP+4/Postal Code:
44512
If this address is a private residence, check this box:
Telephone Number:
(330) 726-3100
Facsimile number, if any:
(330) 726-3103
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
600 W. GERMANTOWN PIKE
Number and Street 2:
SUITE 100
City:
PLYMOUTH MEETING
State:
Pennsylvania
Country:
United States
ZIP+4/Postal Code:
19462
If this address is a private residence, check this box:
Telephone Number:
(610) 239-8323
Facsimile number, if any:
(610) 239-8335
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4129 ELM PARK DRIVE
Number and Street 2:
City:
ST. LOUIS
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63128
If this address is a private residence, check this box:
Telephone Number:
(314) 845-9700
Facsimile number, if any:
(314) 845-9701
This is (check one):
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Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
44820 ACACIA LANE
Number and Street 2:
City:
STERLING
State:
Virginia
Country:
United States
ZIP+4/Postal Code:
20166
If this address is a private residence, check this box:
Telephone Number:
800-934-3453
Facsimile number, if any:
800-934-5348
This is (check one):
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other.
Briefly describe the books and records kept at this location.
BOOKS AND RECORDS OVER TWO YEARS OLD
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
350 LINDEN OAKS
Number and Street 2:
1ST FLOOR
City:
ROCHESTER
State:
New York
Country:
United States
ZIP+4/Postal Code:
14625
If this address is a private residence, check this box:
Telephone Number:
(585) 244-3000
Facsimile number, if any:
(585) 244-8249
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2180 N CAUSEWAY BLVD.
Number and Street 2:
SUITE 9
City:
MANDEVILLE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70471
If this address is a private residence, check this box:
Telephone Number:
(985) 778-2023
Facsimile number, if any:
(985) 778-2027
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
207 EAST SHORE DRIVE
Number and Street 2:
SUITE 230
City:
SPRING
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77380
If this address is a private residence, check this box:
Telephone Number:
832-813-8223
Facsimile number, if any:
832-813-8208
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9483 GARLAND LANE NORTH
Number and Street 2:
City:
MAPLE GROVE
State:
Minnesota
Country:
United States
ZIP+4/Postal Code:
55311
If this address is a private residence, check this box:
Telephone Number:
(763) 494-8889
Facsimile number, if any:
(763) 494-8804
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9050 N. CAPITAL OF TX HWY
Number and Street 2:
BUILDING 3, SUITE 150
City:
AUSTIN
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78759
If this address is a private residence, check this box:
Telephone Number:
(512) 490-0044
Facsimile number, if any:
(512) 490-6699
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10500 SW GREENBURG
Number and Street 2:
SUITE 200
City:
PORTLAND
State:
Oregon
Country:
United States
ZIP+4/Postal Code:
97223
If this address is a private residence, check this box:
Telephone Number:
(503) 718-6118
Facsimile number, if any:
(503) 718-6119
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
109 WEST PARK
Number and Street 2:
SUITE 120
City:
BRENTWOOD
State:
Tennessee
Country:
United States
ZIP+4/Postal Code:
37027
If this address is a private residence, check this box:
Telephone Number:
615-778-3232
Facsimile number, if any:
615-778-0009
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1885 ST. JAMES PLACE
Number and Street 2:
SUITE 1340
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77056
If this address is a private residence, check this box:
Telephone Number:
888-752-6742
Facsimile number, if any:
703-818-1910
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1390 TIMBERLAKE MANOR PARKWAY
Number and Street 2:
SUITE 130
City:
CHESTERFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
63017
If this address is a private residence, check this box:
Telephone Number:
(636) 530-1884
Facsimile number, if any:
(636) 530-1887
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
9203 NE 152 HWY
Number and Street 2:
City:
KANSAS CITY
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
64158
If this address is a private residence, check this box:
Telephone Number:
816-415-2722
Facsimile number, if any:
816-415-2730
This is (check one):
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other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
18927 HICKORY CREEK DRIVE
Number and Street 2:
SUITE 310
City:
MOKENA
State:
Illinois
Country:
United States
ZIP+4/Postal Code:
60448
If this address is a private residence, check this box:
Telephone Number:
(708) 364-9200
Facsimile number, if any:
(708) 364-9292
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
10950 GRANDVIEW DRIVE
Number and Street 2:
SUITE 500
City:
OVERLAND PARK
State:
Kansas
Country:
United States
ZIP+4/Postal Code:
66210
If this address is a private residence, check this box:
Telephone Number:
(913) 319-8100
Facsimile number, if any:
(913) 310-8181
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
2100 WEST LOOP SOUTH
Number and Street 2:
SUITE 750
City:
HOUSTON
State:
Texas
Country:
United States
ZIP+4/Postal Code:
77027
If this address is a private residence, check this box:
Telephone Number:
713-877-0200
Facsimile number, if any:
713-877-0201
This is (check one):
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a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4742 N. 24TH STREET
Number and Street 2:
SUITE 270
City:
PHOENIX
State:
Arizona
Country:
United States
ZIP+4/Postal Code:
85016
If this address is a private residence, check this box:
Telephone Number:
(602) 522.4100
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
28 STATE STREET
Number and Street 2:
21ST FLOOR
City:
BOSTON
State:
Massachusetts
Country:
United States
ZIP+4/Postal Code:
02109
If this address is a private residence, check this box:
Telephone Number:
617-556-2300
Facsimile number, if any:
617-556-2333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.
Name of entity where books and records are kept:
IRON MOUNTAIN
Number and Street 1:
ONE RECALL CENTER
Number and Street 2:
180 TECHNOLOGY PARKWAY
City:
NORCROSS
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30092
If this address is a private residence, check this box:
Telephone Number:
770-776-1000
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
100 HARTSFIELD CENTRE PARKWAY
Number and Street 2:
SUITE 650
City:
ATLANTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30354
If this address is a private residence, check this box:
Telephone Number:
404-424-9001
Facsimile number, if any:
470-225-8252
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3900 N. CAUSEWAY BLVD.
Number and Street 2:
SUITE 100
City:
METAIRIE
State:
Louisiana
Country:
United States
ZIP+4/Postal Code:
70002
If this address is a private residence, check this box:
Telephone Number:
(504) 830-7676
Facsimile number, if any:
(504) 836-7055
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8889 PELICAN BAY BLVD
Number and Street 2:
SUITE 401
City:
NAPLES
State:
Florida
Country:
United States
ZIP+4/Postal Code:
34108
If this address is a private residence, check this box:
Telephone Number:
239-920-5831
Facsimile number, if any:
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
1835 E REPUBLIC RD
Number and Street 2:
SUITE 104
City:
SPRINGFIELD
State:
Missouri
Country:
United States
ZIP+4/Postal Code:
65804
If this address is a private residence, check this box:
Telephone Number:
417-889-9997
Facsimile number, if any:
417-889-7550
This is (check one):
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
6500 SHERIDAN DRIVE
Number and Street 2:
SUITE 110
City:
AMHERST
State:
New York
Country:
United States
ZIP+4/Postal Code:
14221
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Telephone Number:
(716) 832-0035
Facsimile number, if any:
(716) 768-5310
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
4865 NORTH WICKHAM ROAD
Number and Street 2:
SUITE 108
City:
MELBOURNE
State:
Florida
Country:
United States
ZIP+4/Postal Code:
32940
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Telephone Number:
(321) 751-6162
Facsimile number, if any:
(321) 751-6169
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
8610 EXPLORER DRIVE
Number and Street 2:
SUITE 120
City:
COLORADO SPRINGS
State:
Colorado
Country:
United States
ZIP+4/Postal Code:
80920
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Telephone Number:
(719) 594-6800
Facsimile number, if any:
(719) 594-6886
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
21515 HAWTHORNE BLVD
Number and Street 2:
SUITE 580
City:
TORRANCE
State:
California
Country:
United States
ZIP+4/Postal Code:
90503
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Telephone Number:
(424) 903-7477
Facsimile number, if any:
(310) 525-3321
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3950 CIVIC CENTER DRIVE
Number and Street 2:
SUITE 315
City:
SAN RAFAEL
State:
California
Country:
United States
ZIP+4/Postal Code:
94903
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Telephone Number:
888-752-6742
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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN
LOGS, ETC.
Name of entity where books and records are kept:
SALESFORCE
Number and Street 1:
1 MARKET STREET
Number and Street 2:
SUITE 300
City:
SAN FRANCISCO
State:
California
Country:
United States
ZIP+4/Postal Code:
94105
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Telephone Number:
415-901-7000
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CLIENT RECORDS
Name of entity where books and records are kept:
CFM PARTNERS, INC.
Number and Street 1:
1701 RHODE ISLAND AVENUE, NW
Number and Street 2:
City:
WASHINGTON
State:
District of Columbia
Country:
United States
ZIP+4/Postal Code:
20036
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Telephone Number:
202-364-7741
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POLICIES AND PROCEDURES
Name of entity where books and records are kept:
REGED
Number and Street 1:
2100 GATEWAY CENTRE BLVD.
Number and Street 2:
SUITE 200
City:
MORRISVILLE
State:
North Carolina
Country:
United States
ZIP+4/Postal Code:
27560
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Telephone Number:
800-334-8322
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RECORDS RELATED TO CODE OF ETHICS
Name of entity where books and records are kept:
MYCOMPLIANCEOFFICE
Number and Street 1:
535 FIFTH AVENUE
Number and Street 2:
4TH FLOOR
City:
NEW YORK
State:
New York
Country:
United States
ZIP+4/Postal Code:
10017
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Telephone Number:
866-981-1558
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RECORDS RELATED TO CODE OF ETHICS
Name of entity where books and records are kept:
PROOFPOINT, INC.
Number and Street 1:
925 WEST MAUDE AVENUE
Number and Street 2:
City:
SUNNYVALE
State:
California
Country:
United States
ZIP+4/Postal Code:
94085
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Telephone Number:
408-517-4710
Facsimile number, if any:
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ARCHIVAL OF ELECTRONIC COMMUNICATIONS
Name of entity where books and records are kept:
RED OAK COMPLIANCE SOFTWARE
Number and Street 1:
1320 ARROW POINT DRIVE
Number and Street 2:
SUITE 411
City:
CEDAR PARK
State:
Texas
Country:
United States
ZIP+4/Postal Code:
78613
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Telephone Number:
512-721-0421
Facsimile number, if any:
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RECORDS PERTAINING TO ADVERTISING
Name of entity where books and records are kept:
FINANCIAL ENGINES ADVISORS L.L.C.
Number and Street 1:
3460 PRESTON RIDGE RD
Number and Street 2:
SUITE 500
City:
ALPHARETTA
State:
Georgia
Country:
United States
ZIP+4/Postal Code:
30005
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Telephone Number:
(678) 691-8500
Facsimile number, if any:
(678) 691-8501
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