BETTERMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 149117). Regulatory assets under management: $69.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Peter Brailler Lorimer | CHIEF FINANCIAL OFFICER | — |
| Seth Joseph Rosenbloom | GENERAL COUNSEL | — |
| Khaley A Sestak | CHIEF COMPLIANCE OFFICER | — |
| Sarah Kirshbaum Levy | CHIEF EXECUTIVE OFFICER | — |
| O'SULLIVAN RYAN MATTHEW | ELECTED MANAGER; PRESIDENT; PRESIDENT, MANAGING MEMBER | — |
| STEIN JONATHAN BABCOCK | CEO; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, MANAGING MEMBER (+2 more) | — |
| BROVERMAN ELI DAVID | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| OWEN SEAN RHYS | CHIEF TECHNOLOGY OFFICER | — |
| WALSH PAUL ROBERT | CHIEF COMPLIANCE OFFICER | — |
| LUCIEN DUSTIN MATHIAS | CHIEF OPERATIONS OFFICER | — |
| ALDEN BENJAMIN TODD | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL; GENERAL COUNSEL | — |
| ROSENBLOOM SETH JOSEPH | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| LORIMER PETER BRAILLER | CHIEF FINANCIAL OFFICER; VP, FINANCE | — |
| BENKE ALEX CLAYTON | PRESIDENT | — |
| Chehardy Kimberly Noel | CHIEF COMPLIANCE OFFICER | — |
| SESTAK KHALEY A | CHIEF COMPLIANCE OFFICER | — |
| LEVY SARAH KIRSHBAUM | CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-04-18 | regulatory | ON APRIL 18, 2023, BETTERMENT, WITHOUT ADMITTING OR DENYING THE FINDINGS, ENTERED INTO A SETTLEMENT ORDER WITH SECURITIES AND EXCHANGE COMMISSION ("SEC") RELATING TO ALLEGED MATERIAL MISSTATEMENTS AND OMISSIONS CONCERNING BETTERMENT'S AUTOMATED TAX-LOSS HARVESTING SERVICE AND FAILURE TO ADEQUATELY N… | Final | $9.0M |