MA/A
0001623387
XXXXXXXX
Kenneth McManus
973-618-9508
kenmcmanus@alternativereg.com
kenmcmanus@alternativereg.com
RTurner@kaufmanhall.com
PBrown@kaufmanhall.com
Kaufman, Hall & Associates, LLC
47-2564584
866-00222-00
867-01238
CFTC
0556658
433 W. VAN BUREN STREET
Suite 330
CHICAGO
IL
60607
847-441-8780
847-965-3511
Add
390 N. Pacific Coast Highway
Suite 2150
El Segundo
CA
90245
310-227-8988
847-965-3511
Add
5215 OLD ORCHARD ROAD
Suite 800
SKOKIE
IL
60077
847-441-8780
847-965-3511
Add
224-724-3474
Add
224-724-3348
Add
10 Cadillac Drive
Suite 120
BRENTWOOD
TN
37027
615-613-0216
N
www.kaufmanhall.com
Paul
Steven
Brown
General Counsel
433 W. VAN BUREN STREET
Suite 330
CHICAGO
IL
60607
847-441-8780
847-965-3511
PBrown@kaufmanhall.com
Robert
Nicholas
Turner
Managing Director
433 W. VAN BUREN STREET
Suite 330
CHICAGO
IL
60607
847-441-8780
847-965-3511
RTurner@kaufmanhall.com
Add
Kaufman, Hall & Associates
10 Cadillac Drive
Suite 120
BRENTWOOD
TN
37027
615-613-0216
Client files
Kaufman Hall Investment Management, LLC
Y
Securities and Exchange Commission
CRD # 328876
December
IL
02-24-1985
N
533
37
0
3
0
155
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice Guaranteed IC
Advice Use Of MD
Advice On Selection
Y
Y
In addition to municipal advisory services, Kaufman Hall provides the following types of consulting services to clients: strategy and business transformation, performance improvement, financial planning (financial forecasting, not investment portfolio related) and data analytics, mergers and acquisitions, and treasury and capital markets.
Investment Adviser
Commodity trading advisor
Lawyer or law firm
28
Add
Investment Adviser
Commodity trading advisor
Lawyer or law firm
Paul Steven Brown
Kaufman, Hall & Associates LLC
Y
Y
N
Delete
Commodity trading advisor
Kenneth Kaufman
Kaufman, Hall & Associates LLC
Y
Y
N
Add
Investment Adviser
Commodity trading advisor
Kaufman, Hall & Associates LLC
Kaufman, Hall & Associates LLC
Y
Y
N
Add
Commodity trading advisor
Catherine Guelich
Kaufman, Hall & Associates LLC
Y
Y
N
Add
Commodity trading advisor
John Andersen
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Brian Ballard
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Jennifer Brown
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Investment Adviser
Commodity trading advisor
Robert Bruning
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Peter Delaney
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Bradley Dills
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Robert Jaeger
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Terry Kirkpatrick
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Matthew Kling
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Marek Kowalewski
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Chandler Larson
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Nancy Lee Minardi
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Saba Noorali
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Ryan Pyrczak
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Jeffrey Sahrbeck
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Dean Scarano
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Terrence Shirey
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Steven Sohn
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Michael Tym
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Michael Warden
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Therese Wareham
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Commodity trading advisor
Alyssa Zellner
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Investment Adviser
Commodity trading advisor
KH Intermediate Holdings, LLC
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Investment Adviser
David Hiteshew
Kaufman, Hall & Associates, LLC
Y
Y
N
Add
Investment Adviser
Commodity trading advisor
Robert Turner
Kaufman, Hall & Associates, LLC
Y
Y
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
Y
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
KH Intermediate Holdings, LLC
N
47-2563621
OWNER
06-23-2020
E
N
Kenneth
Victor
Kaufman
Manager and President
12-31-2014
A
Y
000000000
David
Farr
Ertel
Chief Financial Officer
08-20-2024
NA
Y
000000000
Paul
Steven
Brown
General Counsel and Chief Compliance Officer
05-05-2023
NA
Y
000000000
Catherine
Celeste
Guelich
Chief Executive Officer and Vice President
05-31-2023
NA
Y
000000000
KH INTERMEDIATE HOLDINGS LLC
KH AQUISITION LLC
N
38-3945432
MEMBER
12-14-2021
E
Y
KH AQUISITION LLC
KH TopCo LLC
N
87-3535241
MEMBER
12-14-2021
E
Y
KH TopCo
Vizient, Inc.
N
38-2182248
Member
12-14-2021
E
N
KH Intermediate Holdings, LLC
N
47-2563621
OWNER
06-23-2020
E
N
Delete
Kenneth
Victor
Kaufman
Manager and President
12-31-2014
A
Y
000000000
David
Farr
Ertel
Chief Financial Officer
08-20-2024
NA
Y
000000000
Paul
Steven
Brown
General Counsel and Chief Compliance Officer
05-05-2023
NA
Y
000000000
Catherine
Celeste
Guelich
Chief Executive Officer and Vice President
05-31-2023
NA
Y
000000000
NewAdd
David
Andrew
Berry
Manager
09-03-2024
NA
Y
000000000
KH INTERMEDIATE HOLDINGS LLC
KH AQUISITION LLC
N
38-3945432
MEMBER
12-14-2021
E
Y
KH AQUISITION LLC
KH TopCo LLC
N
87-3535241
MEMBER
12-14-2021
E
Y
KH TopCo
Vizient, Inc.
N
38-2182248
Member
12-14-2021
E
N
9-C2
9-C4
9-C5
In the Matter of Kaufman, Hall & Associates, LLC and Ponder & Company
File No. 3-221123
100 F Street
NE Washington
Washington
DC
20549
The issue arose out of certain firm personnel using text messages to engage in municipal advisory conversations.
09-17-2024
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
Other
(i) establish reasonably designed written policies and procedures regarding the preservation of electronic communications; (ii) conduct a training of all associated persons who engage in municipal advisory activities regarding the preservation of electronic communications, to be provided by a person or entity with relevant expertise in the preservation of electronic communications and recordkeeping requirements under the Exchange Act, the rules and regulations thereunder, and under MSRB Rules; (iii) establish a program of periodic training of all associated persons who engage in municipal advisory activities regarding the preservation of electronic communication; and (iv) certify compliance with the foregoing to the SEC within 1 year.
No Product
The SEC found that Kaufman Hall and Ponder & Co violated Sections 17(a) and 15B(c)(1) of the Securities Exchange Act, Exchange Act Rule 15Ba-1, and MSRB Rules G-8, G-9 and G-44 in connection with the firms' failure to retain certain municipal advisory text messages sent and received by some personnel.
09-17-2024
Order
Settled
Order was entered and settled with the SEC.
N
Y
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
Other
(i) establish reasonably designed written policies and procedures regarding the preservation of electronic communications; (ii) conduct a training of all associated persons who engage in municipal advisory activities regarding the preservation of electronic communications, to be provided by a person or entity with relevant expertise in the preservation of electronic communications and recordkeeping requirements under the Exchange Act, the rules and regulations thereunder, and under MSRB Rules; (iii) establish a program of periodic training of all associated persons who engage in municipal advisory activities regarding the preservation of electronic communication; and (iv) certify compliance with the foregoing to the SEC within 1 year.
324000.00
324000.00
09-18-2024
324000.00
1
9-H1c
Superior Court of California
30-2010-00359692
751 W. Santa Ana Boulevard
Santa Ana
CA
92710
Kaufman Hall was retained by Tri-City to provide a narrow scope of work related to structuring and pricing an interest rate swap that would be used to hedge certain auction rate securities to be underwritten by Citi and insured by MBIA. Tri-Citi sued all parties that worked on any part of the transaction, subsequent to the failure of the auction rate securities and the credit deterioration of the municipal bond insurer. Kaufman Hall played no role in the decision-making or issuance of the auction rate securities and we reached an agreement with Tri-City that resulted in a dismissal of the complaint.
04-05-2010
Other
Private Plaintiff
Tri-City Healthcare District
Y
Citibank, N.A.; Citigroup Global Markets, Inc.; Charles Plimpton; Chad Keenan; Orrick, Herrington & Sutcliffe, LLP; Foley & Lardner, LLP; MBIA, Inc.; MBIA National Insurance Corporation; National Public Finance Guarantee Corporation; Joseph Koreleski; Dan Wilson; Kaufman Hall & Associates, Inc.; Ellen G. Riley; Eric Jordahl; Wilmington Trust Company; Michael A. Wass; Christopher J. Slaybough
Y
Money Damage(s) (Private/Civil Complaint)
CivilAdminPenaltyFine
Disgorgement
05-05-2010
This was the date process was served on Eric Jordahl (named associate person); assume process served date for applicant and other associated person was the same
Debt - Municipal
Derivative, Swap, Municipal Bond Insurance
Plaintiff issued insured auction rate securities and entered into an associated fixed pay interest rate swap; subsequently alleged that defendants' advice in connection with the issuance of such securities was in violation of California law.
09-07-2011
Dismissed
Settled
The complaint was settled and dismissed with prejudice on September 7, 2011
N
Ellen
Glucksman
Riley
N
Superior Court of California
30-2010-00359692
751 W. Santa Ana Boulevard
Santa Ana
CA
92701
Kaufman Hall was retained by Tri-City to provide a narrow scope of work related to structuring and pricing an interest rate swap that would be used to hedge certain auction rate securities to be underwritten by Citi and insured by MBIA. Tri-City sued all parties that worked on any part of its bond transaction, subsequent to the failure of the auction rate securities and the credit deterioration of the municipal bond insurer. Kaufman Hall played no role in the decision-making or issuance of the auction rate securities and we reached an agreement with Tri-City that resulted in dismissal of the complaint.
04-05-2010
Other
Private Plaintiff
Tri-City Healthcare District
Y
Citibank, N.A.; Citigroup Global Markets, Inc.; Charles Plimpton; Chad Keenan; Orrick, Herrington & Sutcliffe, LLP; Foley & Lardner, LLP; MBIA, Inc.; MBIA Insurance Corporation; National Public Finance Guarantee Corporation; Joseph Koraleski; Dan Wilson; Kaufman, Hall & Associates, Inc.; Ellen G. Riley; Eric Jordahl; Wilmington Trust Company; Michael A. Wass; Christopher J. Slaybough
Y
Money Damage(s) (Private/Civil Complaint)
CivilAdminPenaltyFine
Disgorgement
05-05-2010
This was the date process was served on Eric Jordahl (named associate person); assume process served date on applicant and other associated person was the same
Debt - Municipal
Derivative, Swap, Municipal Bond Insurance
Plaintiff issued insured auction rate securities and entered into an associated fixed pay interest rate swap; subsequently alleged that the defendant's advice in connection with the issuance of such securities was in violation of California law
09-07-2011
Dismissed
Settled
The complaint was settled and dismissed with prejudice on September 7, 2011
N
Robert Turner
Robert Turner
Managing Director
09-30-2024
N
N
N
N
N
Y
N
Y
N
N
Y
N
Y
N
N
N
N
N
Y
N
Y