KAUFMAN HALL INVESTMENT MANAGEMENT, LLC of BRENTWOOD, TN is an SEC-registered investment adviser (CRD 328876). Regulatory assets under management: $2.8B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Britt Adelbert Cesarone | SECRETARY | — |
| Robert Nicholas Turner | MANAGER & PRESIDENT | — |
| Valerie Louise Witmer | CHIEF COMPLIANCE OFFICER | — |
| CESARONE BRITT ADELBERT | SECRETARY; SENIOR VICE PRESIDENT | — |
| HITESHEW DAVID ANDERS | SENIOR VICE PRESIDENT | — |
| BERRY TODD ANDREW | CHIEF COMPLIANCE OFFICER | — |
| BROWN TERRY STEVEN | CHIEF COMPLIANCE OFFICER | — |
| TURNER ROBERT NICHOLAS | MANAGER & PRESIDENT; VICE PRESIDENT | — |
| DesJardins Tracy Ann | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-17 | regulatory | THE SEC FOUND THAT KAUFMAN, HALL & ASSOCIATES, LLC VIOLATED SECTIONS 17(A) AND 15B(C)(1) OF THE SECURITIES EXCHANGE ACT, EXCHANGE ACT RULE 15BA1-8, AND MSRB RULES G-8, G-9 AND G-44 IN CONNECTION WITH THE FIRM'S FAILURE TO RETAIN CERTAIN MUNICIPAL ADVISORY TEXT MESSAGES SENT AND RECEIVED BY SOME PERS… | Final | $324K |
| City | State | Employees | Phone |
|---|---|---|---|
| CHICAGO | IL | 2 | 224-724-3541 |
| CRETE | IL | 1 | 708-672-7635 |
| — | — | 1 | 224-724-3811 |
| DALLAS | TX | 1 | 847-660-8820 |
| — | — | 1 | 224-724-3439 |