Form ADV (full filing)
as of Jul 06, 2026
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FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: MERCER GLOBAL ADVISORS INC. CRD Number: 147363
Other-Than-Annual Amendment - All Sections Rev. 10/2021
7/6/2026 2:59:56 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):
MERCER GLOBAL ADVISORS INC.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
MERCER GLOBAL ADVISORS INC.
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: 801-69271
(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:
CIK Number
853758
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 147363
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: Number and Street 2:
1200 17TH STREET SUITE 2000
City: State: Country: ZIP+4/Postal Code:
DENVER Colorado United States 80202
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:
8AM-5PM
(3) Telephone number at this location:
(888) 885-8101
(4) Facsimile number at this location, if any:
(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?
257
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: MERCER ADVISORS
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR Other:
ID MT RI
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: Number and Street 2:
5555 SAN FELIPE STREET SUITE 200 AND 1000
City: State: Country: ZIP+4/Postal Code:
HOUSTON Texas United States 77056
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(800) 825-5152
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
19
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
5348 CARROL CANYON ROAD SUITE 200
City: State: Country: ZIP+4/Postal Code:
SAN DIEGO California United States 92121
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(858) 750-4209
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
124 NW 10TH
City: State: Country: ZIP+4/Postal Code:
OKLAHOMA CITY Oklahoma United States 73103
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(405) 286-2100
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
51 SAWYER ROAD 6TH FLOOR
City: State: Country: ZIP+4/Postal Code:
WALTHAM Massachusetts United States 02453
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(617) 547-6717
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
475 N. MARTINGALE ROAD SUITE 300
City: State: Country: ZIP+4/Postal Code:
SCHAUMBURG Illinois United States 60173
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 642-3000 847-619-0281
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
590 W CENTRE AVE
City: State: Country: ZIP+4/Postal Code:
PORTAGE Michigan United States 49024
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(269) 488-6900
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
8333 DOUGLAS AVENUE SUITE 750
City: State: Country: ZIP+4/Postal Code:
DALLAS Texas United States 75225
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(214) 691-6090
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
14
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
1256 E. KINGSLEY STREET
City: State: Country: ZIP+4/Postal Code:
SPRINGFIELD Missouri United States 65804
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(417) 882-7283
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
38993
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: Number and Street 2:
222 EAST CARILLO STREET SUITE 400
City: State: Country: ZIP+4/Postal Code:
SANTA BARBARA California United States 93101
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(877) 642-5224
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
7033 EAST GREENWAY PARKWAY SUITE 290
City: State: Country: ZIP+4/Postal Code:
SCOTTSDALE Arizona United States 85254
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 920-8085
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
822 N AIA HWY SUITE 206
City: State: Country: ZIP+4/Postal Code:
PONTE VEDRA BEACH Florida United States 32082
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(904) 639-6383
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
67 PARK PLACE EAST SUITE 700
City: State: Country: ZIP+4/Postal Code:
MORRISTOWN New Jersey United States 79600
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(973) 605-8311
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
600 HIGHWAY 169 SOUTH SUITE 1945
City: State: Country: ZIP+4/Postal Code:
MINNEAPOLIS Minnesota United States 55426
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(612) 206-3892
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
4600 SOUTH ULSTER STREET SUITE 1050
City: State: Country: ZIP+4/Postal Code:
DENVER Colorado United States 80237
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(303) 221-4867
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
15
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
5550 TOPANGA CANYON BLVD SUITE 350
City: State: Country: ZIP+4/Postal Code:
WOODLAND HILLS California United States 91367
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 642-1000
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
9740 APPALOOSA ROAD SUITE 100
City: State: Country: ZIP+4/Postal Code:
SAN DIEGO California United States 92131
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(800) 926-1681
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
6345 BALBOA AVENUE BUILDING 4, SUITE 375
City: State: Country: ZIP+4/Postal Code:
ENCINO California United States 91316
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(818) 654-4480
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
100 PINE STREET SUITE 2150
City: State: Country: ZIP+4/Postal Code:
SAN FRANCISCO California United States 94111
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(650) 838-1030
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
2595 CANYON BLVD SUITE 320
City: State: Country: ZIP+4/Postal Code:
BOULDER Colorado United States 80302
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(800) 525-0961
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
8180 GREENSBORO DRIVE SUITE 1010
City: State: Country: ZIP+4/Postal Code:
MCLEAN Virginia United States 22102
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(703) 773-2474
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
100 PRINGLE AVENUE SUITE 310
City: State: Country: ZIP+4/Postal Code:
WALNUT CREEK California United States 94596
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(877) 494-5123
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
16
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
5555 GLENRIDGE CONNECTOR SUITE 825
City: State: Country: ZIP+4/Postal Code:
ATLANTA Georgia United States 30342
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 975-4554
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
25
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
620 NEWPORT CENTER DRIVE SUITE 1030
City: State: Country: ZIP+4/Postal Code:
NEWPORT BEACH California United States 92660
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(800) 394-3894
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You
must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are
an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
10655 NORTHEAST 4TH STREET SUITE 810
City: State: Country: ZIP+4/Postal Code:
BELLEVUE Washington United States 98004
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 642-4636
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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: Number and Street 2:
767 THIRD AVENUE 37TH FLOOR
City: State: Country: ZIP+4/Postal Code:
NEW YORK New York United States 10017
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
(888) 603-3903
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform 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:
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://www.firstohioplanning.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.goldsteinmunger.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.furefinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.knick.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.kadescheifetz.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.hcowealth.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.kanaly.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.thekielygroup.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.fullsailcapital.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.thompson-advisory.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.reneemcconnell.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/singer-burke/posts/?feedView=all
Address of Website/Account on Publicly Available Social Media Platform: https://www.twitter.com/MercerAdvisors
Address of Website/Account on Publicly Available Social Media Platform: https://www.frangofinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.brightonfinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.dragonfg.com/ Legacy URL- redirect to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/cfnplan/
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/kingfisher-capital/about/
Address of Website/Account on Publicly Available Social Media Platform: https://www.myeaglewealth.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.epsteinandwhite.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.longrunwealth.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/lakepointadvisorygroup/
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/@MercerAdvisors/channels
Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/mercer_advisors/
Address of Website/Account on Publicly Available Social Media Platform: https://www.merceradvisors.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.obrienwp.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.cfnplan.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.lewiswm.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/mercer-advisors/
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/epstein-white-retirement-income-solutions-llc
Address of Website/Account on Publicly Available Social Media Platform: https://www.wealthguards.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.vintagefs.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/merceradvisors/
Address of Website/Account on Publicly Available Social Media Platform: https://www.tuftoncapital.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.westoakcap.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.mallardfinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.wealthguide.net/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.mdkpwm.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.mallardadvisors.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.mirskyfinancial.com/ Legacy URL-redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.pinnacle-investment.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.precipiowealth.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.pamgmt.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.rpgplanner.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/empyrionwealthmanagment/
Address of Website/Account on Publicly Available Social Media Platform: https://www.wrennfinancial.com/ Legacy URL-redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.milleradvisors.com/- Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/benemark-inc-/
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/epsteinwhitemerceradvisors/
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/rpgplanner/
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/Kanaly-Trust-120746091315000
Address of Website/Account on Publicly Available Social Media Platform: https://www.convergentwm.com/ Legacy URL - redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.wealthdesignservices.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.sandfordadvisory.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.singerburke.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.sighadvisory.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.sprucehillcap.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.starksfinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.regisllc.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.regentwealth.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.riverglenwealth.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.rmradvisors.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.benchmarkwealthmgmt.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.chapelcollins.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.berkson.net/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.confluencefa.com/ Legacy URL- redirect to primary websites
Address of Website/Account on Publicly Available Social Media Platform: https://www.lakepointadvisorygroup.com/- Legacy URL redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.dsneal.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.financialpartnersgroupllc.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.dayandennis.com/ Legacy URL-redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.adamfinl.com/- Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.afiwealthstrategies.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.stewardwealthmanagement.com/ Legacy URL-redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.andesafm.com/- Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.atlantafinancial.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.transitionswm.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.tswealth.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.taaginc.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.waypointcaptialadvisors.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.kingfishercapital.com/ Legacy URL- redirects to primary website
Address of Website/Account on Publicly Available Social Media Platform: https://www.vbfinancialgroup.com/
Address of Website/Account on Publicly Available Social Media Platform: https://www.poterack.net/
Address of Website/Account on Publicly Available Social Media Platform: https://www.facebook.com/lakepointadvisorygroup/
Address of Website/Account on Publicly Available Social Media Platform: https://www.acgwealth.com/- Legacy URL- redirects to primary website
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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
6440 DUTCHMANS PARKWAY SUITE 201
City: State: Country: ZIP+4/Postal Code:
LOUISVILLE Kentucky United States 40205
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(502) 459-7199
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
201 SOUTH COLLEGE STREET SUITE 2250
City: State: Country: ZIP+4/Postal Code:
CHARLOTTE North Carolina United States 28244
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(800) 338-1710
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
10 PIONEER AVE OFFICE #13 (5A)
City: State: Country: ZIP+4/Postal Code:
JACKSON Wyoming United States 83001
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1801 CENTURY PARK EAST SUITE 1901
City: State: Country: ZIP+4/Postal Code:
LOS ANGELES California United States 90067
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(424) 212-4949
This is (check 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 RECORES
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
100 THOUSAND OAKS BLVD. SUITE 174
City: State: Country: ZIP+4/Postal Code:
THOUSAND OAKS California United States 91360
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(281) 938-4820
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1028 S BRIDGEWAY PLACE SUITE 120
City: State: Country: ZIP+4/Postal Code:
EAGLE Idaho United States 83616
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(208) 722-2280
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2373 OAK VALLEY DRIVE SUITE 110
City: State: Country: ZIP+4/Postal Code:
ANN ARBOR Michigan United States 48103
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(734) 668-4040
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
100 W. MATSONFORD ROAD SUITE 4-200
City: State: Country: ZIP+4/Postal Code:
RADNOR Pennsylvania United States 19087
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(610) 862-1090
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
10055 RED RUN BLVD. SUITES 160
City: State: Country: ZIP+4/Postal Code:
OWINGS MILLS Maryland United States 21117
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(410) 384-6888
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3940 PENINSULAR DRIVE SUITE 230
City: State: Country: ZIP+4/Postal Code:
GRAND RAPIDS Michigan United States 49546
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(269) 488-6900
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
226 GAINSVILLE HIGHWAY SUITE F
City: State: Country: ZIP+4/Postal Code:
BLAIRSVILLE Georgia United States 30512
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Telephone Number: Facsimile number, if any:
(706) 400-5763
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
7234 LANCASTER PIKE SUITE 220A
City: State: Country: ZIP+4/Postal Code:
HOCKESSIN Delaware United States 19707
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Telephone Number: Facsimile number, if any:
(302) 239-1654
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3430 E SUNRISE DRIVE SUITE 180, OFFICE 16
City: State: Country: ZIP+4/Postal Code:
TUCSON Arizona United States 85718
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
55 BARN ROAD SUITE 206
City: State: Country: ZIP+4/Postal Code:
LAKE PLACID New York United States 12946
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Telephone Number: Facsimile number, if any:
(518) 523-8050
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
4830 WEST KENNEDY BLVD. SUITE 600
City: State: Country: ZIP+4/Postal Code:
TAMPA Florida United States 33609
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Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
35 NW HAWTHORNE AVENUE
City: State: Country: ZIP+4/Postal Code:
BEND Oregon United States 97703
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Telephone Number: Facsimile number, if any:
(541) 330-0220
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
250 WEST BOBWHITE COURT SUITE 340
City: State: Country: ZIP+4/Postal Code:
BOISE Idaho United States 83706
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Telephone Number: Facsimile number, if any:
208-287-3725
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3815 RIVER CROSSING PARKWAY SUITE 100
City: State: Country: ZIP+4/Postal Code:
INDIANAPOLIS Indiana United States 46240
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Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
901 S MOPAC EXPRESSWAY BARTON OAKS PLAZA 2, SUITE 270
City: State: Country: ZIP+4/Postal Code:
AUSTIN Texas United States 78746
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Telephone Number: Facsimile number, if any:
(512) 347-9500
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
201 WEST NORTH RIVER DRIVE SUITE 380
City: State: Country: ZIP+4/Postal Code:
SPOKANE Washington United States 99201
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Telephone Number: Facsimile number, if any:
(509) 444-7007
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
5 NW MINNESOTA AVENUE SUITE 220
City: State: Country: ZIP+4/Postal Code:
BEND Oregon United States 97703
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Telephone Number: Facsimile number, if any:
(541) 604-8603
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC. - OMAHA, NE BRANCH
Number and Street 1: Number and Street 2:
260 REGENCY PARKWAY DRIVE SUITE 113
City: State: Country: ZIP+4/Postal Code:
OMAHA Nebraska United States 68114
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Telephone Number: Facsimile number, if any:
(888) 355-2151
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
6901 PROFESSIONAL PARKWAY E SUITE 200, OFFICE 259
City: State: Country: ZIP+4/Postal Code:
SARASOTA Florida United States 34240
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
15 NORTH MAIN STREET SUITE 100
City: State: Country: ZIP+4/Postal Code:
WEST HARTFORD Connecticut United States 06107
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Telephone Number: Facsimile number, if any:
(860) 651-1716
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
479 ROUTE 520 SUITE B20, OFFICE #252
City: State: Country: ZIP+4/Postal Code:
MARLBORO New Jersey United States 07746
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Telephone Number: Facsimile number, if any:
(281) 938-4820
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
310 WEST FRONT STREET SUITE 308
City: State: Country: ZIP+4/Postal Code:
TRAVERSE CITY Michigan United States 49684
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Telephone Number: Facsimile number, if any:
(231) 929-4500
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3010 SANTA FE COURT 1ST FLOOR
City: State: Country: ZIP+4/Postal Code:
MISSOULA Montana United States 59808
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1053 W. REX ROAD SUITE 102
City: State: Country: ZIP+4/Postal Code:
MEMPHIS Tennessee United States 38119
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Telephone Number: Facsimile number, if any:
(901) 216-1600
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
600 NORTH CLEVELAND AVENUE SUITE 140
City: State: Country: ZIP+4/Postal Code:
WESTERVILLE Ohio United States 43082
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Telephone Number: Facsimile number, if any:
(800) 335-1404
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
327 PLAZA REAL BLVD SUITE 309
City: State: Country: ZIP+4/Postal Code:
BOCA RATON Florida United States 33432
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Telephone Number: Facsimile number, if any:
(561) 417-0001
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2095 SUMMER LEE DRIVE SUITE M200
City: State: Country: ZIP+4/Postal Code:
ROCKWALL Texas United States 75032
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Telephone Number: Facsimile number, if any:
(214) 771-3363
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
9115 CORSEA DEL FONTANA WAY SUITE 100
City: State: Country: ZIP+4/Postal Code:
NAPLES Florida United States 34109
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Telephone Number: Facsimile number, if any:
(239) 321-5001
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
300 RIDGEFIELD COURT SUITE 309
City: State: Country: ZIP+4/Postal Code:
ASHEVILLE North Carolina United States 28806
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Telephone Number: Facsimile number, if any:
(828) 285-8777
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
131 4TH STREET EAST SUITE 320
City: State: Country: ZIP+4/Postal Code:
KETCHUM Idaho United States 83340
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Telephone Number: Facsimile number, if any:
(877) 726-8858
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
39209 SIX MILE ROAD SUITE 210
City: State: Country: ZIP+4/Postal Code:
LIVONIA Michigan United States 48152
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Telephone Number: Facsimile number, if any:
(800) 444-4143
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2600 SOUTH SHORE BOULEVARD SUITE 300
City: State: Country: ZIP+4/Postal Code:
LEAGUE CITY Texas United States 77573
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
122 SW FRANK PHILLIPS BOULEVARD SUITE 111
City: State: Country: ZIP+4/Postal Code:
BARTLESVILLE Oklahoma United States 74003
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Telephone Number: Facsimile number, if any:
(918) 956-0580
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
1 BRADLEY ROAD SUITE 901 &902
City: State: Country: ZIP+4/Postal Code:
WOODBRIDGE Connecticut United States 06525
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Telephone Number: Facsimile number, if any:
(203) 387-7887
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
227 NORTH LOOP 1604 EAST SUITE 150
City: State: Country: ZIP+4/Postal Code:
SAN ANTONIO Texas United States 78232
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
303 INTERNATIONAL CIRCLE SUITE 430
City: State: Country: ZIP+4/Postal Code:
HUNT VALLEY Maryland United States 21030
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Telephone Number: Facsimile number, if any:
888-565-1681
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2201 DOTTIE LYNN PARKWAY SUITE 123
City: State: Country: ZIP+4/Postal Code:
FORT WORTH Texas United States 76120
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Telephone Number: Facsimile number, if any:
888-885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
415 S MORGAN STREET
City: State: Country: ZIP+4/Postal Code:
GRANBURY Texas United States 76048
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
8 WRIGHT STREET 1ST FLOOR
City: State: Country: ZIP+4/Postal Code:
WESTPORT Connecticut United States 06880
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
400 INTERLAKE DRIVE SUITE 200
City: State: Country: ZIP+4/Postal Code:
MADISON Wisconsin United States 53716
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Telephone Number: Facsimile number, if any:
(608) 663-7676
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
8500 NORMANDALE LAKE BLVD SUITE 950
City: State: Country: ZIP+4/Postal Code:
BLOOMINGTON Minnesota United States 55437
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Telephone Number: Facsimile number, if any:
(952) 944-8250
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2600 WESTOWN PARKWAY SUITE 346
City: State: Country: ZIP+4/Postal Code:
WEST DES MOINES Iowa United States 50266
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Telephone Number: Facsimile number, if any:
(515) 422-9040
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
330 N WASBASH AVE OFFICE 24-115
City: State: Country: ZIP+4/Postal Code:
CHICAGO Illinois United States 60611
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
100 SUN AVENUE N.E. SUITE 650
City: State: Country: ZIP+4/Postal Code:
ALBUQUERQUE New Mexico United States 87109
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Telephone Number: Facsimile number, if any:
(505) 298-4040
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
607 COMMONS DRIVE
City: State: Country: ZIP+4/Postal Code:
GALLATIN Tennessee United States 37066
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Telephone Number: Facsimile number, if any:
(615) 230-9700
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
19901 SOUTHWEST FREEWAY SUITE 232
City: State: Country: ZIP+4/Postal Code:
SUGARLAND Texas United States 77479
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2825 E COTTONWOOD PARKWAY SUITE 500
City: State: Country: ZIP+4/Postal Code:
SALT LAKE CITY Utah United States 84121
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
7130 GLEN FOREST DRIVE SUITE 406
City: State: Country: ZIP+4/Postal Code:
RICHMOND Virginia United States 23226
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
950 BANNOCK STREET SUITE 1100
City: State: Country: ZIP+4/Postal Code:
BOISE Idaho United States 83702
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Telephone Number: Facsimile number, if any:
(208) 207-9231
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
9200 MONTGOMERY ROAD
City: State: Country: ZIP+4/Postal Code:
CINCINNATI Ohio United States 45242
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Telephone Number: Facsimile number, if any:
(513) 771-7222
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1755 TELSTAR DRIVE 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
COLORADO SPRINGS Colorado United States 80920
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Telephone Number: Facsimile number, if any:
(888) 565-1681
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CLIENT RECORDS.
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
100 TYLER SQUARE SUITE 6
City: State: Country: ZIP+4/Postal Code:
COVINGTON Louisiana United States 70433
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Telephone Number: Facsimile number, if any:
(985) 246-5776
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
4545 42ND STREET N.W. SUITE 314
City: State: Country: ZIP+4/Postal Code:
WASHINGTON District of Columbia United States 20016
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Telephone Number: Facsimile number, if any:
(202) 244-4460
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
412 SOUTH 14TH STREET
City: State: Country: ZIP+4/Postal Code:
PONCA CITY Oklahoma United States 74601
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Telephone Number: Facsimile number, if any:
(580) 762-1121
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
680 E. COLORADO BLVD SUITE 180
City: State: Country: ZIP+4/Postal Code:
PASADENA California United States 91101
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
125 PLANTATION CENTER DRIVE SOUTH SUITE 400B
City: State: Country: ZIP+4/Postal Code:
MACON Georgia United States 31210
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Telephone Number: Facsimile number, if any:
(478) 474-7480
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1837 E. MAIN STREET
City: State: Country: ZIP+4/Postal Code:
ONALASKA Wisconsin United States 54650
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Telephone Number: Facsimile number, if any:
(608) 779-0300
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
412 MAIN STREET SUITE 200
City: State: Country: ZIP+4/Postal Code:
FRANKLIN Tennessee United States 37064
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Telephone Number: Facsimile number, if any:
(615) 771-1012
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2985 VOYAGER DRIVE
City: State: Country: ZIP+4/Postal Code:
GREEN BAY Wisconsin United States 54311
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Telephone Number: Facsimile number, if any:
(920) 496-7926
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
26 MAIN STREET
City: State: Country: ZIP+4/Postal Code:
COLLEYVILLE Texas United States 76034
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Telephone Number: Facsimile number, if any:
(817) 428-1145
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
5470 KIETZKE LANE SUITE 300
City: State: Country: ZIP+4/Postal Code:
RENO Nevada United States 89511
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
200 BROADHOLLOW ROAD SUITE 207, OFFICE 151
City: State: Country: ZIP+4/Postal Code:
MELVILLE New York United States 11747
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Telephone Number: Facsimile number, if any:
(516) 447-2899
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
115 DR. MARTIN LUTHER KING JR DRIVE
City: State: Country: ZIP+4/Postal Code:
STARKVILLE Mississippi United States 39759
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Telephone Number: Facsimile number, if any:
(800) 810-1091
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
555 WINDERLEY PLACE SUITE 300
City: State: Country: ZIP+4/Postal Code:
MAITLAND Florida United States 32751
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1250 IRONWOOD DRIVE SUITE 110
City: State: Country: ZIP+4/Postal Code:
COEUR D'ALENE Idaho United States 83814
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Telephone Number: Facsimile number, if any:
(509) 444-7007
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
610 MAIN STREET SUITE 15
City: State: Country: ZIP+4/Postal Code:
FRISCO Colorado United States 80443
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Telephone Number: Facsimile number, if any:
(970) 468-8880
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2033 GATEWAY PLACE 5TH FLOOR
City: State: Country: ZIP+4/Postal Code:
SAN JOSE California United States 95110
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
6860 NORTH DALLAS PARKWAY SUITE 200
City: State: Country: ZIP+4/Postal Code:
PLANO Texas United States 75024
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3741 DOUGLAS BOULEVARD SUITE 130
City: State: Country: ZIP+4/Postal Code:
ROSEVILLE California United States 95661
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Telephone Number: Facsimile number, if any:
(916) 786-7626
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
375 WOODCLIFF DRIVE SUITE 1C
City: State: Country: ZIP+4/Postal Code:
FAIRPORT New York United States 14450
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Telephone Number: Facsimile number, if any:
(585) 442-3230
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
9595 SIX PINES DRIVE BUILDING 8, LEVEL 2, SUITE 8210
City: State: Country: ZIP+4/Postal Code:
THE WOODLANDS Texas United States 77380
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Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3292 EAGLE VIEW LANE SUITE 290
City: State: Country: ZIP+4/Postal Code:
LEXINGTON Kentucky United States 40509
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(859) 254-3036
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2008 STEPHENSON AVENUE SW
City: State: Country: ZIP+4/Postal Code:
ROANOKE Virginia United States 24014
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(540) 204-9310
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
873 SANTA CRUZ AVENUE SUITE 206
City: State: Country: ZIP+4/Postal Code:
MENLO PARK California United States 94025
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Telephone Number: Facsimile number, if any:
(650) 838-1030
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
83 HALLS ROAD UNIT 201
City: State: Country: ZIP+4/Postal Code:
OLD LYME Connecticut United States 06371
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(860) 434-6890
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
99 DERBY STREET SUITE 200
City: State: Country: ZIP+4/Postal Code:
HINGHAM Massachusetts United States 02043
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
301 GRANT STREET SUITE 270
City: State: Country: ZIP+4/Postal Code:
PITTSBURGH Pennsylvania United States 15219
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3339 SE DIVISION STREET SUITE 201
City: State: Country: ZIP+4/Postal Code:
PORTLAND Oregon United States 97202
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(503) 234-0721
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
2202 NORTH WEST SHORE BLVD SUITE 200
City: State: Country: ZIP+4/Postal Code:
TAMPA Florida United States 33607
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
224 CANYON AVENUE UNIT #110
City: State: Country: ZIP+4/Postal Code:
FORT COLLINS Colorado United States 80521
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(970) 204-1376
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CLIENT RECORDS
Name of entity where books and records are kept:
MERER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
800 STATE HIGHWAY 248 UNIT 5, BUILDING 1
City: State: Country: ZIP+4/Postal Code:
BRANSON Missouri United States 65616
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(417) 882-7283
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
923 HADDONFIELD ROAD SUITE 300
City: State: Country: ZIP+4/Postal Code:
CHERRY HILL New Jersey United States 08002
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(215) 558-3500
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
121 SW MORRISON STREET SUITE 910
City: State: Country: ZIP+4/Postal Code:
PORTLAND Oregon United States 97204
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(503) 419-3938
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
16150 MAIN CIRCLE DRIVE SUITE 115
City: State: Country: ZIP+4/Postal Code:
CHESTERFIELD Missouri United States 63017
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(636) 536-1800
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
1 TARA BOULEVARD SUITE 200
City: State: Country: ZIP+4/Postal Code:
NASHUA New Hampshire United States 03062
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC
Number and Street 1: Number and Street 2:
74785 HIGHWAY 111 SUITE 202
City: State: Country: ZIP+4/Postal Code:
INDIAN WELLS California United States 92210
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(760) 836-1126
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
5251 WEST 116TH PLACE SUITE 200
City: State: Country: ZIP+4/Postal Code:
LEAWOOD Kansas United States 66211
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
100 WEST BIG BEAVER ROAD SUITE 200
City: State: Country: ZIP+4/Postal Code:
TROY Michigan United States 48084
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 920-1320
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
4905 HAMILTON BLVD
City: State: Country: ZIP+4/Postal Code:
LOWER MACUNGIE TOWNSHIP Pennsylvania United States 18106
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(610) 841-5367
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
33 LONO AVENUE SUITE 390
City: State: Country: ZIP+4/Postal Code:
KAHULUI Hawaii United States 96732
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(808) 871-1006
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
9 CENTENNIAL DRIVE 2ND FLOOR
City: State: Country: ZIP+4/Postal Code:
PEABODY Massachusetts United States 01960
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 565-1681
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
313 FIFTH STREET SUITE 101
City: State: Country: ZIP+4/Postal Code:
AMES Iowa United States 50010
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(515) 233-0307
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
12909 SOUTH WEST 68TH PARKWAY SUITE 230
City: State: Country: ZIP+4/Postal Code:
TIGARD Oregon United States 97223
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(503) 597-2222
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
8352 SIX FORKS ROAD SUITE 201
City: State: Country: ZIP+4/Postal Code:
RALEIGH North Carolina United States 27615
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(919) 848-9999
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
200 SOUTH EXECUTIVE DRIVE SUITE 101, OFFICE 2047
City: State: Country: ZIP+4/Postal Code:
BROOKFIELD Wisconsin United States 53005
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(281) 938-4820
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
707 SKOKIE BOULEVARD SUITE 600, OFFICE 637
City: State: Country: ZIP+4/Postal Code:
NORTHBROOK Illinois United States 60062
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2 INTERNATIONAL DRIVE SUITE 325
City: State: Country: ZIP+4/Postal Code:
PORTSMOUTH New Hampshire United States 03801
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(800)656-5720
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
62 PORTLAND RD SUITE 37
City: State: Country: ZIP+4/Postal Code:
KENNEBUNK Maine United States 04043
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(207)895-5000
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
2530 MERIDIAN PARKWAY SUITE 300, OFFICE 4020
City: State: Country: ZIP+4/Postal Code:
DURHAM North Carolina United States 27713
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(281)938-4820
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
701 PALOMAR AIRPORT ROAD SUITE 300, OFFICE 13
City: State: Country: ZIP+4/Postal Code:
CARLSBAD California United States 92011
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 885-8101
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CLIENT RECORDS
Name of entity where books and records are kept:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
4010 WEST BOY SCOUT BOULEVARD SUITE 355
City: State: Country: ZIP+4/Postal Code:
TAMPA Florida United States 33607
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(291) 938-4820
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
3900 N CAUSEWAY BLVD. SUITE 1200, OFFICE 1266
City: State: Country: ZIP+4/Postal Code:
METAIRIE Louisiana United States 70002
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(888) 920-1320
This is (check 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:
MERCER GLOBAL ADVISORS INC.
Number and Street 1: Number and Street 2:
250 CAMINO ALTO SUITE 200
City: State: Country: ZIP+4/Postal Code:
MILL VALLEY California United States 94941
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
(877) 847-6667
This is (check 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
SECTION 1.M. Registration with Foreign Financial Regulatory Authorities
No Information Filed
Item 2 SEC Registration/Reporting
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for SEC
registration or submitting an annual updating amendment to your SEC registration. If you are filing an umbrella registration, the information in Item 2 should be
provided for the filing adviser only.
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an annual
updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1A Instruction 2 provides
information to help you determine whether you may affirmatively respond to each of these items.
You (the adviser):
(1) are a large advisory firm that either:
(a) has regulatory assets under management of $100 million (in U.S. dollars) or more; or
(b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating amendment
and is registered with the SEC;
(2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in
U.S. dollars) and you are either:
(a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place of
business; or
(b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business;
Click HERE for a list of states in which an investment adviser, if registered, would not be subject to examination by the state securities authority.
(3) Reserved
(4) have your principal office and place of business outside the United States;
(5) are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940;
(6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment
Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management;
(7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in
rule 203A-2(a);
(8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered
with the SEC, and your principal office and place of business is the same as the registered adviser;
If you check this box, complete Section 2.A.(8) of Schedule D.
(9) are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days;
If you check this box, complete Section 2.A.(9) of Schedule D.
(10) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d);
If you check this box, complete Section 2.A.(10) of Schedule D.
(11) are an Internet adviser relying on rule 203A-2(e);
If you check this box, complete Section 2.A.(11) of Schedule D.
(12) have received an SEC order exempting you from the prohibition against registration with the SEC;
If you check this box, complete Section 2.A.(12) of Schedule D.
(13) are no longer eligible to remain registered with the SEC.
State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers
C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file
with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy of reports
and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would like to receive
notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to additional state(s),
check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an
amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them, uncheck the box(es) next to those
state(s).
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR
ID MT RI
If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that state's
notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31).
SECTION 2.A.(8) Related Adviser
If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control with
an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser, provide the
following information:
Name of Registered Investment Adviser
CRD Number of Registered Investment Adviser
SEC Number of Registered Investment Adviser
-
SECTION 2.A.(9) Investment Adviser Expecting to be Eligible for Commission Registration within 120 Days
If you are relying on rule 203A-2(c), the exemption from the prohibition on registration available to an adviser that expects to be eligible for SEC registration within
120 days, you are required to make certain representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to
have made the required representations. You must make both of these representations:
I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to
register with the SEC within 120 days after the date my registration with the SEC becomes effective.
I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section
203A(a) of the Advisers Act from registering with the SEC.
SECTION 2.A.(10) Multi-State Adviser
If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations
about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations.
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations:
I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an investment
adviser with the state securities authorities in those states.
I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15 states
to register as an investment adviser with the state securities authorities of those states.
If you are submitting your annual updating amendment, you must make this representation:
Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required by the
laws of at least 15 states to register as an investment adviser with the state securities authorities in those states.
SECTION 2.A.(11) Internet Adviser
If you are relying on rule 203A-2(e), the Internet adviser exemption from the prohibition on registration, you are required to make a representation about your
eligibility for SEC registration. By checking the appropriate box, you will be deemed to have made the required representation.
If you are applying for registration as an investment adviser with the SEC or changing your existing Item 2 response regarding your eligibility for SEC registration,
you must make this representation:
I will provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive website.
If you are filing an annual updating amendment to your existing registration and are continuing to rely on the Internet adviser exemption for SEC registration, you
must make this representation:
I have provided and will continue to provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive
website.
SECTION 2.A.(12) SEC Exemptive Order
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
Application Number:
803-
Date of order:
Item 3 Form of Organization
If you are filing an umbrella registration, the information in Item 3 should be provided for the filing adviser only.
A. How are you organized?
Corporation
Sole Proprietorship
Limited Liability Partnership (LLP)
Partnership
Limited Liability Company (LLC)
Limited Partnership (LP)
Other (specify):
If you are changing your response to this Item, see Part 1A Instruction 4.
B. In what month does your fiscal year end each year?
DECEMBER
C. Under the laws of what state or country are you organized?
State Country
Delaware United States
If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the name of
the state or country where you reside.
If you are changing your response to this Item, see Part 1A Instruction 4.
Item 4 Successions
Yes No
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser, including, for example, a change of your structure or
legal status (e.g., form of organization or state of incorporation)?
If "yes", complete Item 4.B. and Section 4 of Schedule D.
B. Date of Succession: (MM/DD/YYYY)
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part 1A Instruction 4.
SECTION 4 Successions
No Information Filed
Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making
regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5.
Employees
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an employee
performs more than one function, you should count that employee in each of your responses to Items 5.B.(1), (2), (3), (4), and (5).
A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
1429
B. (1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
632
(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
5
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives?
667
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives for an investment adviser other than you?
37
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?
27
(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
9
In your response to Item 5.B.(6), do not count any of your employees and count a firm only once – do not count each of the firm's employees that solicit on your
behalf.
Clients
In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with
those investors.
C. (1) To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services during
your most recently completed fiscal year?
87
(2) Approximately what percentage of your clients are non-United States persons?
0%
D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does not
include businesses organized as sole proprietorships.
The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of 1940.
Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of
1940, do not answer (1)(d) or (3)(d) below.
Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to
each of the following type of client. If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather
than respond to Item 5.D.(1).
The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under
management reported in Item 5.F.(2)(c) below.
If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If you
advise a registered investment company, business development company, or pooled investment vehicle, report those assets in categories (d), (e), and (f) as
applicable.
(1) Number of (2) Fewer than 5 (3) Amount of Regulatory Assets
Type of Client Client(s) Clients under Management
(a) Individuals (other than high net worth individuals) 16646 $ 7,082,833,358
(b) High net worth individuals 18398 $ 70,513,655,736
(c) Banking or thrift institutions 0 $0
(d) Investment companies 0 $0
(e) Business development companies 0 $0
(f) Pooled investment vehicles (other than investment companies and 0 $0
business development companies)
(g) Pension and profit sharing plans (but not the plan participants or 718 $ 3,451,428,018
government pension plans)
(h) Charitable organizations 166 $ 1,998,280,571
(i) State or municipal government entities (including government pension 0 $0
plans)
(j) Other investment advisers 0 $0
(k) Insurance companies 0 $0
(l) Sovereign wealth funds and foreign official institutions 0 $0
(m) Corporations or other businesses not listed above 244 $ 1,350,694,907
(n) Other: 0 $0
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
(1) A percentage of assets under your management
(2) Hourly charges
(3) Subscription fees (for a newsletter or periodical)
(4) Fixed fees (other than subscription fees)
(5) Commissions
(6) Performance-based fees
(7) Other (specify): CONSULTING FEES
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
Yes No
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $ 82,916,243,015 (d) 115,337
Non-Discretionary: (b) $ 1,480,649,575 (e) 973
Total: (c) $ 84,396,892,590 (f) 116,310
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when completing this
Item.
(3) What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who are
non-United States persons?
$ 158,247,343
Item 5 Information About Your Advisory Business - Advisory Activities
Advisory Activities
G. What type(s) of advisory services do you provide? Check all that apply.
(1) Financial planning services
(2) Portfolio management for individuals and/or small businesses
(3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section
54 of the Investment Company Act of 1940)
(4) Portfolio management for pooled investment vehicles (other than investment companies)
(5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other
pooled investment vehicles)
(6) Pension consulting services
(7) Selection of other advisers (including private fund managers)
(8) Publication of periodicals or newsletters
(9) Security ratings or pricing services
(10) Market timing services
(11) Educational seminars/workshops
(12) Other(specify): TRUST SERVICES, ESTATE PLANNING, CONSULTATION
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the
Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or investment
companies to which you provide advice in Section 5.G.(3) of Schedule D.
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
0
1 - 10
11 - 25
26 - 50
51 - 100
101 - 250
251 - 500
More than 500
If more than 500, how many?
27,443 (round to the nearest 500)
In your responses to this Item 5.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with
those investors.
Yes No
I. (1) Do you participate in a wrap fee program?
(2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:
(a) sponsor to a wrap fee program
$
(b) portfolio manager for a wrap fee program?
$
(c) sponsor to and portfolio manager for the same wrap fee program?
$
If you report an amount in Item 5.I.(2)(c), do not report that amount in Item 5.I.(2)(a) or Item 5.I.(2)(b).
If you are a portfolio manager for a wrap fee program, list the names of the programs, their sponsors and related information in Section 5.I.(2) of Schedule D.
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a wrap
fee program, do not check Item 5.I.(1) or enter any amounts in response to Item 5.I.(2).
Yes No
J. (1) In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of
investments?
(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory
assets under management?
K. Separately Managed Account Clients
Yes No
(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed
account clients)?
If yes, complete Section 5.K.(1) of Schedule D.
(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten
percent or more of this remaining amount of regulatory assets under management?
If yes, complete Section 5.K.(3) of Schedule D for each custodian.
L. Marketing Activities
Yes No
(1) Do any of your advertisements include:
(a) Performance results?
(b) A reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5))?
(c) Testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(d) Endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(e) Third-party ratings?
(2) If you answer "yes" to L(1)(c), (d), or (e) above, do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in
connection with the use of testimonials, endorsements, or third-party ratings?
(3) Do any of your advertisements include hypothetical performance ?
(4) Do any of your advertisements include predecessor performance ?
SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies
No Information Filed
SECTION 5.I.(2) Wrap Fee Programs
No Information Filed
SECTION 5.K.(1) Separately Managed Accounts
After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this
remaining amount attributable to each of the following categories of assets. If the remaining amount is at least $10 billion in regulatory assets under
management, complete Question (a). If the remaining amount is less than $10 billion in regulatory assets under management, complete Question (b).
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
If you are a subadviser to a separately managed account, you should only provide information with respect to the portion of the account that you subadvise.
End of year refers to the date used to calculate your regulatory assets under management for purposes of your annual updating amendment . Mid-year is the date
six months before the end of year date. Each column should add up to 100% and numbers should be rounded to the nearest percent.
Investments in derivatives, registered investment companies, business development companies, and pooled investment vehicles should be reported in those
categories. Do not report those investments based on related or underlying portfolio assets. Cash equivalents include bank deposits, certificates of deposit,
bankers' acceptances and similar bank instruments.
Some assets could be classified into more than one category or require discretion about which category applies. You may use your own internal methodologies
and the conventions of your service providers in determining how to categorize assets, so long as the methodologies or conventions are consistently applied and
consistent with information you report internally and to current and prospective clients. However, you should not double count assets, and your responses must
be consistent with any instructions or other guidance relating to this Section.
(a) Asset Type Mid-year End of year
(i) Exchange-Traded Equity Securities 19 % 20 %
(ii) Non Exchange-Traded Equity Securities 0% 0%
(iii) U.S. Government/Agency Bonds 1% 1%
(iv) U.S. State and Local Bonds 2% 2%
(v) Sovereign Bonds 0% 1%
(vi) Investment Grade Corporate Bonds 1% 1%
(vii) Non-Investment Grade Corporate Bonds 0% 0%
(viii) Derivatives 0% 0%
(ix) Securities Issued by Registered Investment Companies or Business Development Companies 65 % 65 %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business 3% 3%
Development Companies)
(xi) Cash and Cash Equivalents 6% 5%
(xii) Other 2% 2%
Generally describe any assets included in "Other"
UNIQUE ASSETS AND CERTAIN ALTERNATIVE ASSETS
(b) Asset Type End of year
(i) Exchange-Traded Equity Securities %
(ii) Non Exchange-Traded Equity Securities %
(iii) U.S. Government/Agency Bonds %
(iv) U.S. State and Local Bonds %
(v) Sovereign Bonds %
(vi) Investment Grade Corporate Bonds %
(vii) Non-Investment Grade Corporate Bonds %
(viii) Derivatives %
(ix) Securities Issued by Registered Investment Companies or Business Development Companies %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies) %
(xi) Cash and Cash Equivalents %
(xii) Other %
Generally describe any assets included in "Other"
SECTION 5.K.(2) Separately Managed Accounts - Use of Borrowingsand Derivatives
No information is required to be reported in this Section 5.K.(2) per the instructions of this Section 5.K.(2)
If your regulatory assets under management attributable to separately managed accounts are at least $10 billion, you should complete Question (a). If your
regulatory assets under management attributable to separately managed accounts are at least $500 million but less than $10 billion, you should complete
Question (b).
(a) In the table below, provide the following information regarding the separately managed accounts you advise. If you are a subadviser to a separately
managed account, you should only provide information with respect to the portion of the account that you subadvise. End of year refers to the date used to
calculate your regulatory assets under management for purposes of your annual updating amendment. Mid-year is the date six months before the end of year
date.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional
exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the dollar amount of
any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in
column 1 with respect to each category of derivatives specified in 3(a) through (f).
You may, but are not required to, complete the table with respect to any separately managed account with regulatory assets under management of less than
$10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
(i) Mid-Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(b) Foreign
(a) Interest Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Rate Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ 34,347,842 $ % % % 100 % % %
10-149% $ $ % % % % % %
150% or more $ $ % % % % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
MERCER GLOBAL ADVISORS EMPLOYS COVERED CALL AND PUT WRITING AND OTHER OPTION STRATEGIES.
(ii) End of Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(b) Foreign
(a) Interest Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Rate Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ 11,108,984 $0 % % % 100 % % %
10-149% $ 54,989,301 $0 % % % 100 % % %
150% or more $ 55,785,092 $0 % % % 100 % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
MERCER GLOBAL ADVISORS EMPLOYS COVERED CALL AND PUT WRITING AND OTHER OPTION STRATEGIES.
(b) In the table below, provide the following information regarding the separately managed accounts you advise as of the date used to calculate your regulatory
assets under management for purposes of your annual updating amendment. If you are a subadviser to a separately managed account, you should only
provide information with respect to the portion of the account that you subadvise.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional
exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the dollar amount of
any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
You may, but are not required to, complete the table with respect to any separately managed accounts with regulatory assets under management of less
than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
Gross Notional Exposure (1) Regulatory Assets Under Management (2) Borrowings
Less than 10% $ $
10-149% $ $
150% or more $ $
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
SECTION 5.K.(3) Custodians for Separately Managed Accounts
Complete a separate Schedule D Section 5.K.(3) for each custodian that holds ten percent or more of your aggregate separately managed account regulatory
assets under management.
(a) Legal name of custodian:
CHARLES SCHWAB & CO., INC.
(b) Primary business name of custodian:
CHARLES SCHWAB & CO., INC.
(c) The location(s) of the custodian's office(s) responsible for custody of the assets :
City: State: Country:
WESTLAKE Texas United States
Yes No
(d) Is the custodian a related person of your firm?
(e) If the custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 16514
(f) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any)
(g) What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
$ 57,744,058,586
(a) Legal name of custodian:
FIDELITY BROKERAGE SERVICES LLC
(b) Primary business name of custodian:
FIDELITY BROKERAGE SERVICES LLC
(c) The location(s) of the custodian's office(s) responsible for custody of the assets :
City: State: Country:
SAN FRANCISCO California United States
Yes No
(d) Is the custodian a related person of your firm?
(e) If the custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 23292
(f) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any)
(g) What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
$ 20,870,202,237
Item 6 Other Business Activities
In this Item, we request information about your firm's other business activities.
A. You are actively engaged in business as a (check all that apply):
(1) broker-dealer (registered or unregistered)
(2) registered representative of a broker-dealer
(3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(4) futures commission merchant
(5) real estate broker, dealer, or agent
(6) insurance broker or agent
(7) bank (including a separately identifiable department or division of a bank)
(8) trust company
(9) registered municipal advisor
(10) registered security-based swap dealer
(11) major security-based swap participant
(12) accountant or accounting firm
(13) lawyer or law firm
(14) other financial product salesperson (specify):
If you engage in other business using a name that is different from the names reported in Items 1.A. or 1.B.(1), complete Section 6.A. of Schedule D.
Yes No
B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?
(2) If yes, is this other business your primary business?
If "yes," describe this other business on Section 6.B.(2) of Schedule D, and if you engage in this business under a different name, provide that name.
Yes No
(3) Do you sell products or provide services other than investment advice to your advisory clients?
If "yes," describe this other business on Section 6.B.(3) of Schedule D, and if you engage in this business under a different name, provide that name.
SECTION 6.A. Names of Your Other Businesses
No Information Filed
SECTION 6.B.(2) Description of Primary Business
Describe your primary business (not your investment advisory business):
If you engage in that business under a different name, provide that name:
SECTION 6.B.(3) Description of Other Products and Services
Describe other products or services you sell to your client. You may omit products and services that you listed in Section 6.B.(2) above.
1. PENSION SERVICES 2. TRUST ADMINISTRATIONSERVICES 3. ESTATE PLANNING 4. FINANCIAL CONSULTING
If you engage in that business under a different name, provide that name:
Item 7 Financial Industry Affiliations
In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may occur
between you and your clients.
A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your
advisory affiliates and any person that is under common control with you.
You have a related person that is a (check all that apply):
(1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered)
(2) other investment adviser (including financial planners)
(3) registered municipal advisor
(4) registered security-based swap dealer
(5) major security-based swap participant
(6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(7) futures commission merchant
(8) banking or thrift institution
(9) trust company
(10) accountant or accounting firm
(11) lawyer or law firm
(12) insurance company or agency
(13) pension consultant
(14) real estate broker or dealer
(15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Note that Item 7.A. should not be used to disclose that some of your employees perform investment advisory functions or are registered representatives of a
broker-dealer. The number of your firm's employees who perform investment advisory functions should be disclosed under Item 5.B.(1). The number of your firm's
employees who are registered representatives of a broker-dealer should be disclosed under Item 5.B.(2).
Note that if you are filing an umbrella registration, you should not check Item 7.A.(2) with respect to your relying advisers, and you do not have to complete Section
7.A. in Schedule D for your relying advisers. You should complete a Schedule R for each relying adviser.
For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of Schedule D.
You do not need to complete Section 7.A. of Schedule D for any related person if: (1) you have no business dealings with the related person in connection with
advisory services you provide to your clients; (2) you do not conduct shared operations with the related person; (3) you do not refer clients or business to the
related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised persons or premises with the related
person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients.
You must complete Section 7.A. of Schedule D for each related person acting as qualified custodian in connection with advisory services you provide to your clients
(other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)), regardless of whether you have determined the related person to be operationally
independent under rule 206(4)-2 of the Advisers Act.
SECTION 7.A. Financial Industry Affiliations
Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A.
1. Legal Name of Related Person:
MERCER ADVISORS INSURANCE SERVICES, LLC
2. Primary Business Name of Related Person:
MERCER ADVISORS INSURANCE SERVICES
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption
that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a
surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
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:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
HEIM, YOUNG & ASSOCIATES, INC.
2. Primary Business Name of Related Person:
HEIM, YOUNG & ASSOCIATES, INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
8 - 48500
or
Other
4. Related Person's
(a) CRD Number (if any):
38993
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption
that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a
surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
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:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
MAPAM GP I, LLC
2. Primary Business Name of Related Person:
MAPAM GP I, LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption
that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a
surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
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:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
MERCER ADVISORS PRIVATE ASSET MANAGEMENT, INC.
2. Primary Business Name of Related Person:
MERCER ADVISORS PRIVATE ASSET MANAGEMENT, INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 129203
or
Other
4. Related Person's
(a) CRD Number (if any):
327830
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption
that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a
surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
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:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
Item 7 Private Fund Reporting
Yes No
B. Are you an adviser to any private fund?
If "yes," then for each private fund that you advise, you must complete a Section 7.B.(1) of Schedule D, except in certain circumstances described in the next sentence
and in Instruction 6 of the Instructions to Part 1A. If you are registered or applying for registration with the SEC or reporting as an SEC exempt reporting adviser, and
another SEC-registered adviser or SEC exempt reporting adviser reports this information with respect to any such private fund in Section 7.B.(1) of Schedule D of its
Form ADV (e.g., if you are a subadviser), do not complete Section 7.B.(1) of Schedule D with respect to that private fund. You must, instead, complete Section 7.B.(2) of
Schedule D.
In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical code, or
similar designation, pursuant to rule 204-2(d), you may identify the private fund in Section 7.B.(1) or 7.B.(2) of Schedule D using the same code or designation in place
of the fund's name.
SECTION 7.B.(1) Private Fund Reporting
No Information Filed
SECTION 7.B.(2) Private Fund Reporting
No Information Filed
Item 8 Participation or Interest in Client Transactions
In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional areas in which conflicts
of interest may occur between you and your clients. Newly-formed advisers should base responses to these questions on the types of participation and interest
that you expect to engage in during the next year.
Like Item 7, Item 8 requires you to provide information about you and your related persons, including foreign affiliates.
Proprietary Interest in Client Transactions
A. Do you or any related person: Yes No
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary
(ownership) interest (other than those mentioned in Items 8.A.(1) or (2))?
Sales Interest in Client Transactions
B. Do you or any related person: Yes No
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client
securities are sold to or bought from the brokerage customer (agency cross transactions)?
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for which you
or any related person serves as underwriter or general or managing partner?
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the
receipt of sales commissions as a broker or registered representative of a broker-dealer)?
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the: Yes No
(1) securities to be bought or sold for a client's account?
(2) amount of securities to be bought or sold for a client's account?
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons?
E. Do you or any related person recommend brokers or dealers to clients?
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons?
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft
dollar benefits") in connection with client securities transactions?
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under
section 28(e) of the Securities Exchange Act of 1934?
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals?
(2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm
(cash or non-cash compensation in addition to the employee's regular salary)?
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related
person) for client referrals?
In your response to Item 8.I., do not include the regular salary you pay to an employee.
In responding to Items 8.H. and 8.I., consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H.) or received from (in
answering Item 8.I.) any person in exchange for client referrals, including any bonus that is based, at least in part, on the number or amount of client referrals.
Item 9 Custody
In this Item, we ask you whether you or a related person has custody of client (other than clients that are investment companies registered under the Investment
Company Act of 1940) assets and about your custodial practices.
A. (1) Do you have custody of any advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
If you are registering or registered with the SEC, answer "No" to Item 9.A.(1)(a) and (b) if you have custody solely because (i) you deduct your advisory fees directly
from your clients' accounts, or (ii) a related person has custody of client assets in connection with advisory services you provide to clients, but you have overcome
the presumption that you are not operationally independent (pursuant to Advisers Act rule 206(4)-2(d)(5)) from the related person.
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you
have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ 24,142,126,904 (b) 25,635
If you are registering or registered with the SEC and you have custody solely because you deduct your advisory fees directly from your clients' accounts, do not
include the amount of those assets and the number of those clients in your response to Item 9.A.(2). If your related person has custody of client assets in
connection with advisory services you provide to clients, do not include the amount of those assets and number of those clients in your response to 9.A.(2). Instead,
include that information in your response to Item 9.B.(2).
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
You are required to answer this item regardless of how you answered Item 9.A.(1)(a) or (b).
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your
related persons have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ 111,248,989 (b) 53
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that
apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage.
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are
distributed to the investors in the pools.
(3) An independent public accountant conducts an annual surprise examination of client funds and securities.
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are
qualified custodians for client funds and securities.
If you checked Item 9.C.(2), C.(3) or C.(4), list in Section 9.C. of Schedule D the accountants that are engaged to perform the audit or examination or prepare an
internal control report. (If you checked Item 9.C.(2), you do not have to list auditor information in Section 9.C. of Schedule D if you already provided this information
with respect to the private funds you advise in Section 7.B.(1) of Schedule D).
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? Yes No
(1) you act as a qualified custodian
(2) your related person(s) act as qualified custodian(s)
If you checked "yes" to Item 9.D.(2), all related persons that act as qualified custodians (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1))
must be identified in Section 7.A. of Schedule D, regardless of whether you have determined the related person to be operationally independent under rule 206(4)-2
of the Advisers Act.
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal
year, provide the date (MM/YYYY) the examination commenced:
07/2025
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as
qualified custodians for your clients in connection with advisory services you provide to clients?
31
SECTION 9.C. Independent Public Accountant
You must complete the following information for each independent public accountant engaged to perform a surprise examination, perform an audit of a pooled
investment vehicle that you manage, or prepare an internal control report. You must complete a separate Schedule D Section 9.C. for each independent public
accountant.
(1) Name of the independent public accountant:
ASHLAND PARTNERS & COMPANY LLP
(2) The location of the independent public accountant's office responsible for the services provided:
Number and Street 1: Number and Street 2:
3512 EXCEL DRIVE SUITE 103
City: State: Country: ZIP+4/Postal Code:
MEDFORD Oregon United States 97504
Yes No
(3) Is the independent public accountant registered with the Public Company Accounting Oversight Board?
If "yes," Public Company Accounting Oversight Board-Assigned Number:
3783
(4) If "yes" to (3) above, is the independent public accountant subject to regular inspection by the Public Company Accounting Oversight Board in
accordance with its rules?
(5) The independent public accountant is engaged to:
A. audit a pooled investment vehicle
B. perform a surprise examination of clients' assets
C. prepare an internal control report
(6) Since your last annual updating amendment, did all of the reports prepared by the independent public accountant that audited the pooled investment vehicle
or that examined internal controls contain unqualified opinions?
Yes
No
Report Not Yet Received
If you check "Report Not Yet Received", you must promptly file an amendment to your Form ADV to update your response when the accountant's report is available.
Item 10 Control Persons
In this Item, we ask you to identify every person that, directly or indirectly, controls you. If you are filing an umbrella registration, the information in Item 10 should
be provided for the filing adviser only.
If you are submitting an initial application or report, you must complete Schedule A and Schedule B. Schedule A asks for information about your direct owners and
executive officers. Schedule B asks for information about your indirect owners. If this is an amendment and you are updating information you reported on either
Schedule A or Schedule B (or both) that you filed with your initial application or report, you must complete Schedule C.
Yes No
A. Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies?
If yes, complete Section 10.A. of Schedule D.
B. If any person named in Schedules A, B, or C or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities
Exchange Act of 1934, please complete Section 10.B. of Schedule D.
SECTION 10.A. Control Persons
No Information Filed
SECTION 10.B. Control Person Public Reporting Companies
No Information Filed
Item 11 Disclosure Information
In this Item, we ask for information about your disciplinary history and the disciplinary history of all your advisory affiliates. We use this information to determine
whether to grant your application for registration, to decide whether to revoke your registration or to place limitations on your activities as an investment adviser,
and to identify potential problem areas to focus on during our on-site examinations. One event may result in "yes" answers to more than one of the questions
below. In accordance with General Instruction 5 to Form ADV, "you" and "your" include the filing adviser and all relying advisers under an umbrella registration.
Your advisory affiliates are: (1) all of your current employees (other than employees performing only clerical, administrative, support or similar functions); (2) all of
your officers, partners, or directors (or any person performing similar functions); and (3) all persons directly or indirectly controlling you or controlled by you. If you
are a "separately identifiable department or division" (SID) of a bank, see the Glossary of Terms to determine who your advisory affiliates are.
If you are registered or registering with the SEC or if you are an exempt reporting adviser, you may limit your disclosure of any event listed in Item 11 to ten years
following the date of the event. If you are registered or registering with a state, you must respond to the questions as posed; you may, therefore, limit your disclosure to
ten years following the date of an event only in responding to Items 11.A.(1), 11.A.(2), 11.B.(1), 11.B.(2), 11.D.(4), and 11.H.(1)(a). For purposes of calculating this ten-
year period, the date of an event is the date the final order, judgment, or decree was entered, or the date any rights of appeal from preliminary orders, judgments, or
decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item 11.
Yes No
Do any of the events below involve you or any of your supervised persons?
For "yes" answers to the following questions, complete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate: Yes No
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?
(2) been charged with any felony?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.A.(2) to charges that
are currently pending.
B. In the past ten years, have you or any advisory affiliate:
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving:
investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury,
forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with a misdemeanor listed in Item 11.B.(1)?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.B.(2) to charges that
are currently pending.
For "yes" answers to the following questions, complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: Yes No
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
(3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:
(1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?
(2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
(3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?
(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by
order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?
E. Has any self-regulatory organization or commodities exchange ever:
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation"
under a plan approved by the SEC)?
(3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the
advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?
F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or
suspended?
G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or
11.E.?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP:
H. (1) Has any domestic or foreign court: Yes No
(a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a
state or foreign financial regulatory authority?
(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H.(1)?
Item 12 Small Businesses
The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, we need to determine whether
you meet the definition of "small business" or "small organization" under rule 0-7.
Answer this Item 12 only if you are registered or registering with the SEC and you indicated in response to Item 5.F.(2)(c) that you have regulatory assets under
management of less than $25 million. You are not required to answer this Item 12 if you are filing for initial registration as a state adviser, amending a current
state registration, or switching from SEC to state registration.
For purposes of this Item 12 only:
Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of clients. In determining your or another person's total assets,
you may use the total assets shown on a current balance sheet (but use total assets reported on a consolidated balance sheet with subsidiaries included, if
that amount is larger).
Control means the power to direct or cause the direction of the management or policies of a person, whether through ownership of securities, by contract, or
otherwise. Any person that directly or indirectly has the right to vote 25 percent or more of the voting securities, or is entitled to 25 percent or more of the
profits, of another person is presumed to control the other person.
Yes No
A. Did you have total assets of $5 million or more on the last day of your most recent fiscal year?
If "yes," you do not need to answer Items 12.B. and 12.C.
B. Do you:
(1) control another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV) of $25
million or more on the last day of its most recent fiscal year?
(2) control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal year?
C. Are you:
(1) controlled by or under common control with another investment adviser that had regulatory assets under management (calculated in response to
Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal year?
(2) controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on the last
day of its most recent fiscal year?
Schedule A
Direct Owners and Executive Officers
1. Complete Schedule A only if you are submitting an initial application or report. Schedule A asks for information about your direct owners and executive officers.
Use Schedule C to amend this information.
2. Direct Owners and Executive Officers. List below the names of:
(a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer(Chief Compliance Officer is required
if you are registered or applying for registration and cannot be more than one individual), director, and any other individuals with similar status or functions;
(b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a public
reporting company (a company subject to Section 12 or 15(d) of the Exchange Act);
Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of
your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent,
stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same
residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have
contributed, 5% or more of your capital;
(d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has contributed,
5% or more of your capital, the trust and each trustee; and
(e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5% or
more of your capital, and (ii) if managed by elected managers, all elected managers.
3. Do you have any indirect owners to be reported on Schedule B? Yes No
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or "I" if
the owner or executive officer is an individual.
5. Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or
member; and for shareholders or members, the class of securities owned (if more than one is issued).
6. Ownership codes are: NA - less than 5% B - 10% but less than 25% D - 50% but less than 75%
A - 5% but less than 10% C - 25% but less than 50% E - 75% or more
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does not
have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control
persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last DE/FE/I Title or Status Date Title or Status Ownership Control PR CRD No. If None: S.S. No. and Date of
Name, First Name, Middle Name) Acquired MM/YYYY Code Person Birth, IRS Tax No. or Employer ID No.
MERCER ADVISORS INTERMEDIATE DE PARENT 04/2013 E Y N
HOLDINGS INC. COMPANY
WELLING, CHARLES, DAVID I CHIEF 06/2017 NA Y N 2961999
EXECUTIVE
OFFICER
CALCAGNI, DONALD, ANDREW I CHIEF 10/2015 NA Y N 4203231
INVESTMENT
OFFICER
LORENZ, KIMBERLY, LYNN I CHIEF 01/2021 NA Y N 7336686
COMPLIANCE
OFFICER
CATALDO, CHRISTINE, ADELE I CHIEF 06/2021 NA Y N 3042889
TECHNOLOGY
OFFICER
ENCINO, MATHEW, RYAN I GENERAL 09/2021 NA Y N 7530163
COUNSEL
FOODIM, GARY, IAN I CHIEF 06/2021 NA Y N 7531000
MARKETING
OFFICER
GOURVITCH, DANIEL, ALEXANDER I PRESIDENT 10/2022 NA Y N 4979126
KERESTECI, GUN, HASAN I CHIEF 02/2024 NA Y N 5800434
FINANCIAL
OFFICER
Hioe, Elizabeth, Schwartz I CHIEF PEOPLE 11/2024 NA Y N 8044184
OFFICER
Schedule B
Indirect Owners
1. Complete Schedule B only if you are submitting an initial application or report. Schedule B asks for information about your indirect owners; you must first
complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information.
2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below:
(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the
sale of, 25% or more of a class of a voting security of that corporation;
For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent,
spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she
has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or
have contributed, 25% or more of the partnership's capital;
(c) in the case of an owner that is a trust, the trust and each trustee; and
(d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed,
25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers.
3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of the
Exchange Act) is reached, no further ownership information need be given.
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or "I" if
the owner is an individual.
5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or members,
the class of securities owned (if more than one is issued).
6. Ownership codes are: C - 25% but less than 50% E - 75% or more
D - 50% but less than 75% F - Other (general partner, trustee, or elected manager)
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does not
have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control
persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME DE/FE/I Entity in Which Status Date Status Ownership Control PR CRD No. If None: S.S. No.
(Individuals: Last Name, First Interest is Owned Acquired Code Person and Date of Birth, IRS Tax
Name, Middle Name) MM/YYYY No. or Employer ID No.
GC WAVES HOLDINGS, INC. DE MERCER ADVISORS PARENT COMPANY TO MERCER 03/2015 E Y N
INTERMEDIATE ADVISORS INC.
HOLDINGS INC.
OG CRIMSON PARENT, INC. DE GC WAVES PARENT COMPANY TO GC 10/2019 E Y N
HOLDINGS, INC. WAVES HOLDINGS, INC.
OG CRIMSON HOLDINGS, L.P. DE OG CRIMSON PARENT PARENT COMPANY TO OG 01/2023 E Y N
HOLDINGS I, INC. CRIMSON PARENT I HOLDINGS,
INC.
MERCER ADVISORS INC. DE MERCER ADVISORS PARENT COMPANY TO MERCER 04/2013 E Y N
INTERMEDIATE ADVISORS INTERMEDIATE
HOLDINGS INC. HOLDINGS INC.
OC CRIMSON PARENT HOLDINGS DE OG CRIMSON PARENT COMPANY TO OG 01/2023 E Y N
II, INC. PARENT, INC. CRIMSON PARENT, INC.
OG CRIMSON PARENT HOLDINGS DE OC CRIMSON PARENT PARENT COMPANY TO OG 01/2023 E Y N
I, INC. HOLDINGS II, INC. CRIMSON PARENT HOLDINGS
II, INC.
OG CRIMSON HOLDINGS DE OG CRIMSON GENERAL PARTNER 09/2019 F Y N
GENPAR, LLC HOLDINGS, L.P.
APH III PRIMETIME DE OG CRIMSON SHAREHOLDER 08/2023 C Y N
AGGREGATOR, L.P. HOLDINGS, L.P.
ALTAS PARTNER HOLDINGS III(A) DE APH III PRIMETIME SHAREHOLDER 08/2023 C Y N
L.P. AGGREGATOR, L.P.
ALTAS PARTNERS HOLDINGS III DE APH III PRIMETIME SHAREHOLDER 08/2023 C Y N
L.P. AGGREGATOR, L.P.
APH III PRIMETIME CO-INVEST DE APH III PRIMETIME SHAREHOLDER 08/2023 C Y N
LP AGGREGATOR, L.P.
Schedule D - Miscellaneous
You may use the space below to explain a response to an Item or to provide any other information.
Item 5.A The employee numbers in Item 5.A are generated by Mercer Global Advisors’ payroll system and do not reflect new employees that joined the firm due to
acquisitions that closed on 12/31/2025 as the employee start date with the firm is 1/1/2026. Item 5.F.(2) Regulatory Assets Under Management reported in Item
5.F.(2) does not include all assets gained from recent acquisitions where the advisory agreements have been properly assigned to Mercer Global Advisors, but the
custodial accounts have yet to be transferred and/or the accounts have yet to be migrated to our portfolio management system. Mercer Global Advisors provides a
larger asset number in its marketing materials. Item 9.A Mercer Global Advisors has custody of client funds and securities where the firm acts pursuant to a
Standing Letter of Authorization (“SLOA”) or other similar arrangement established by a client with a qualified custodian and authorizes Mercer Global Advisors to
transfer client assets to a third party and designate the amount or timing of transfers with that custodian. Mercer Global Advisors does not maintain physical
custody of client assets. Mercer Global Advisors has custody for a limited number of clients as we provide bill paying and reporting services where we have client
log on information. In addition, Mercer Global Advisors financial advisors act, in limited instances, as trustee for client accounts. Because of these actions, Mercer
Global Advisors Inc. is deemed to have custody of client assets and must undergo an independent examination at least once during each calendar year by an
independent public accountant, pursuant to a written agreement between the firm and the accountant, at a time to be determined by the accountant without
prior notice or announcement and that is irregular from year to year. Schedule B- All indirect owners with an ownership interest of 25% or more and current
information are reported on Schedule B.
Schedule R
No Information Filed
DRP Pages
CRIMINAL DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
Part 2
Exemption from brochure delivery requirements for SEC-registered advisers
SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a brochure to
all of your advisory clients, you do not have to prepare a brochure.
Yes No
Are you exempt from delivering a brochure to all of your clients under these rules?
If no, complete the ADV Part 2 filing below.
Amend, retire or file new brochures:
Part 3
CRS Type(s) Affiliate Info Retire
Investment Advisor
Execution Pages
DOMESTIC INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to the SEC
and all amendments.
Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the Secretary of State or other legally designated officer, of the state
in which you maintain your principal office and place of business and any other state in which you are submitting a notice filing, as your agents to receive service,
and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other
process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding
or arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding, or arbitration (a) arises out of any activity
in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the
provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of the state in which you maintain your principal office and place
of business or of any state in which you are submitting a notice filing.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under penalty of
perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other information
submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or
possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
JASMINE MCEVOY 07/06/2026
Printed Name: Title:
JASMINE MCEVOY SR. COMPLIANCE OPERATIONS ANALYST
Adviser CRD Number:
147363
NON-RESIDENT INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to the SEC
and all amendments.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint each of the Secretary of the SEC, and the Secretary of State or other
legally designated officer, of any other state in which you are submitting a notice filing, as your agents to receive service, and agree that such persons may
accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other process or papers, and you
further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or arbitration brought against
you in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with your
investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the provisions of: (i) the
Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers
Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of any state in which you are submitting a notice filing.
2. Appointment and Consent: Effect on Partnerships
If you are organized as a partnership, this irrevocable power of attorney and consent to service of process will continue in effect if any partner withdraws from or
is admitted to the partnership, provided that the admission or withdrawal does not create a new partnership. If the partnership dissolves, this irrevocable power
of attorney and consent shall be in effect for any action brought against you or any of your former partners.
3. Non-Resident Investment Adviser Undertaking Regarding Books and Records
By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in Washington
D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission, correct, current, and
complete copies of any or all records that you are required to maintain under Rule 204-2 under the Investment Advisers Act of 1940. This undertaking shall be
binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of attorney or any of your general
partners and managing agents.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the non-resident investment adviser. The investment adviser and I both certify,
under penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other
information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or
possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
Printed Name: Title:
Adviser CRD Number:
147363