# BETTERMENT LLC

BETTERMENT LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 149117
- Type: SEC-registered investment adviser
- SEC file number: 801-70171
- Location: 450 WEST 33RD STREET, FLOOR 11, NEW YORK, NY, 10001
- Phone: 212-228-1328
- Latest filing: 2026-07-31
- Regulatory AUM: $69.5B
- Discretionary AUM: $69.4B
- Non-discretionary AUM: $123.2M
- Clients: 794
- Accounts: 1,344,483

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth, Pensions

## Officers, owners & control persons (17)

| 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 | — |


## Disclosures (18)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/149117/brochure
- Similar advisers: https://search.stillhousedata.com/firm/149117/similar
- Related entities: https://search.stillhousedata.com/firm/149117/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/149117

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.