# BNY MELLON ETF INVESTMENT ADVISER, LLC

BNY MELLON ETF INVESTMENT ADVISER, LLC of BOSTON, MA is an SEC-registered investment adviser.

## Registration

- CRD: 306148
- Type: SEC-registered investment adviser
- SEC file number: 801-117653
- Location: 201 WASHINGTON STREET, BOSTON, MA, 02108
- Phone: 212-635-6980
- Latest filing: 2026-07-17
- Regulatory AUM: $11.1B
- Discretionary AUM: $11.1B
- Clients: 3
- Accounts: 13

## Business model

- Compensation: % of AUM

## Officers, owners & control persons (20)

| Name | Role | Location |
| --- | --- | --- |
| David John Dipetrillo | CHIEF EXECUTIVE OFFICER & MANAGER | — |
| Stephanie Miller Pierce | MANAGER | — |
| Gareth Becker | CHIEF FINANCIAL OFFICER | — |
| Jason David Ronca | MANAGER | — |
| Lisa Yvette Zeller | CHIEF COMPLIANCE OFFICER | — |
| John Squillace | CHIEF COMPLIANCE OFFICER | — |
| HARRIS MITCHELL EVAN | MANAGER | — |
| CASSEDY JENNIFER | CHIEF COMPLIANCE OFFICER | — |
| SQUILLACE JOHN | CHIEF COMPLIANCE OFFICER | — |
| LAROCHE-MORRIS RENEE MICHELLE | MANAGER | — |
| Oomen Matthew John | MANAGER | — |
| WERTZ PARKER Webb | CHIEF FINANCIAL OFFICER | — |
| PIERCE STEPHANIE MILLER | CHIEF EXECUTIVE OFFICER & MANAGER; MANAGER | — |
| DIPETRILLO DAVID JOHN | CHIEF EXECUTIVE OFFICER & MANAGER; MANAGER | — |
| zelensky natalya sergey | CHIEF COMPLIANCE OFFICER | — |
| FOTTA ERICA CHASE | CHIEF OPERATING OFFICER | — |
| DRAKE GIULIETTE | CHIEF FINANCIAL OFFICER | — |
| Becker Gareth | CHIEF FINANCIAL OFFICER | — |
| Lisa Zeller | CHIEF COMPLIANCE OFFICER | — |
| Kimberly Ann Mackenzie-Perman | MANAGER | — |


## Disclosures (34)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-11-29 | regulatory | ON 21 FEBRUARY 2019, THE UK FINANCIAL CONDUCT AUTHORITY ("FCA") FOUND THAT NEWTON INVESTMENT MANAGEMENT LIMITED ("NIM"), THROUGH THE ACTIONS OF A FORMER EMPLOYEE IN 2014 AND 2015, SHARED INFORMATION WITH THREE OTHER UK INVESTMENT ADVISERS IN RELATION TO TWO INITIAL PUBLIC OFFERINGS AND ONE PLACING B… | Final | — |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. ? 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. § 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-01-12 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTIONS 13(B)(2)(A) & (B) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR BOOKS AND RECORDS AND INTERNAL REGULATORY ACCOUNTING CONTROL DEFICIENCIES IN CONNECTION WITH THE CALCULATION OF RISK-BASED REGULATORY CAPITAL RATIOS PRESENTED IN ANNUAL AND QUARTERLY REPORTS FIL… | Final | $6.6M |
| 2015-08-18 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF THE U.S. FOREIGN CORRUPT PRACTICES ACT IN CONNECTION WITH THE PROVISION OF A LIMITED NUMBER OF INTERNSHIPS TO RELATIVES OF SOVEREIGN WEALTH FUND OFFICIALS. | Final | $14.8M |
| 2012-03-12 | civil | THIS LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT,… | Final | — |
| 2012-03-12 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT, FRAUD, VI… | Final | — |
| 2011-10-04 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BANK") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY THE BANK. THE REGISTRANT IS NOT A DEFENDANT TO THIS ACTION. | Final | — |
| 2011-06-01 | civil | THIS IS A PUTATIVE CLASS ACTION ALLEGING THAT BNY MELLON IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFF ASSERTS BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, AND UNJUST ENRIC… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/306148/brochure
- Similar advisers: https://search.stillhousedata.com/firm/306148/similar
- Related entities: https://search.stillhousedata.com/firm/306148/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/306148

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.