0001752724-18-001873.txt : 20181114
0001752724-18-001873.hdr.sgml : 20181114
20181114103152
ACCESSION NUMBER: 0001752724-18-001873
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180831
FILED AS OF DATE: 20181114
DATE AS OF CHANGE: 20181114
EFFECTIVENESS DATE: 20181114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cavanal Hill Funds
CENTRAL INDEX KEY: 0000864508
IRS NUMBER: 000000000
STATE OF INCORPORATION: OH
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06114
FILM NUMBER: 181181208
BUSINESS ADDRESS:
STREET 1: 4400 EASTON COMMONS #200
CITY: COLUMBUS
STATE: OH
ZIP: 43219
BUSINESS PHONE: 800-762-7085
MAIL ADDRESS:
STREET 1: 4400 EASTON COMMONS #200
CITY: COLUMBUS
STATE: OH
ZIP: 43219
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN PERFORMANCE FUNDS
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN PLUS FUNDS
DATE OF NAME CHANGE: 19900910
N-CEN
1
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4400 Easton Commons
Suite 200
Columbus
43219
US-OH
US
8007627085
FIS Investor Services LLC
4249 Easton Way
Suite 400
Columbus
43219
614-337-6684
Transfer Agent for Cavanal Hill Funds
BOKF, N.A.
One Williams Centre
15th Floor BOK Tower
Tulsa
74172
918-588-6193
Custodian for Cavanal Hill funds
Frederic Dorwart, Lawyers PLLC
124 E. Fourth Street
Old City Hall
Tulsa
74103
918-583-9922
Custodian of Agreement and Declaration of Trust, Bylaws and Minute Books for Cavanal Hill Funds
Cavanal Hill Investment Management, Inc.
One Williams Centre
15th Floor BOK Tower
Tulsa
74172
918-588-8688
Investment Adviser and Administrator for Cavanal Hill funds
Cavanal Hill Distributors, Inc.
One Williams Centre
15th Floor BOK Tower
Tulsa
74172
918-660-2959
Distributor for Cavanal Hill funds
Citi Fund Services Ohio, Inc
4400 Easton Commons
Suite 200
Columbus
43219
614-470-8471
Sub-Administrator, Fund accountant, and CCO/AML Officer for Cavanal Hill Funds
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Scott Grauer
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Columbus
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Bloomberg L.P.
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Thomson Reuters
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BMO CAPITAL
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J.P Morgan Securities
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PricingDirect Inc.
549300WIC0TOJ7N7GD54
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Bloomberg L.P.
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ICE Data Services
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Thomson Reuters
549300561UZND4C7B569
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TD Ameritrade Trust Company
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BOK Financial Securities, Inc.
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LPL Financial LLC
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Geneos Wealth Management, Inc.
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Cavanal Hill Investment Management, Inc.
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Cavanal Hill Investment Management, Inc.
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FIS Investor Services, LLC.
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PricingDirect Inc.
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TD Ameritrade Trust Company
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Geneos Wealth Management, Inc.
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BOK Financial Securities, Inc.
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N
JP Morgan Securities LLC
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LPL Financial LLC
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Cavanal Hill Investment Management, Inc.
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World Energy Fund
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4
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0
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N
Y
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N/A
N/A
N/A
N/A
Y
Y
N
N
Cavanal Hill Investment Management, Inc.
801-60138
000110774
RR0Y8H39IJHXG2G08E07
N
FIS Investor Services, LLC.
084-06522
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N
N
Thomson Reuters
549300561UZND4C7B569
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Bloomberg L.P.
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PricingDirect Inc.
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ICE Data Services
5493000NQ9LYLDBCTL34
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BOKF, N.A.
FU7RSW4CQQY98A2O7J66
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
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BOK Financial Securities, Inc.
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Y
N
BOKF, NA
FU7RSW4CQQY98A2O7J66
Y
N
Geneos Wealth Management, Inc.
N/A
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
N
JP Morgan Securities LLC
ZBUT11V806EZRVTWT807
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N
TD Ameritrade Trust Company
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N
N
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Cavanal Hill Investment Management, Inc.
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Geneos Wealth Management, Inc.
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TD Ameritrade Trust Company
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INTERNAL CONTROL RPT
2
N-CEN_Letter.txt
INDEPENDENT PUBLIC ACCOUNTANT'S REPORT ON INTERNAL CONTROL
Report of Independent Registered Public Accounting Firm
To The Board of Trustees and Shareholders of
Cavanal Hill Funds:
In planning and performing our audits of the financial statements of
Cavanal Hill Funds (the Funds) (comprised of the U.S. Treasury Fund,
Government Securities Money Market Fund, Limited Duration Fund,
Moderate Duration Fund, Bond Fund, Strategic Enhanced Yield Fund,
Ultra Short Tax-Free Income Fund, Active Core Fund, Mid Cap Core
Equity Fund, Opportunistic Fund, and World Energy Fund) as of and
for the year or periods ended August 31, 2018, in accordance with
the standards of the Public Company Accounting Oversight Board
(United States), we considered the Funds' internal control over
financial reporting, including controls over safeguarding securities,
as a basis for designing our auditing procedures for the purpose
of expressing our opinion on the financial statements and to comply
with the requirements of Form N-CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Funds' internal
control over financial reporting. Accordingly, we express no such
opinion.
The management of the Funds is responsible for establishing and
maintaining effective internal control over financial reporting.
In fulfilling this responsibility, estimates and judgments by
management are required to assess the expected benefits and
related costs of controls. A fund's internal control over
financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and
the preparation of financial statements for external purposes
in accordance with generally accepted accounting principles
(GAAP). A fund's internal control over financial reporting
includes those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately
and fairly reflect the transactions and dispositions of the
assets of the fund; (2) provide reasonable assurance that
transactions are recorded as necessary to permit preparation
of financial statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made only in
accordance with authorizations of management and directors of
the funds; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition,
use or disposition of a fund's assets that could have a material
effect on the financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to
future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that
the degree of compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course of
performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a
deficiency, or combination of deficiencies, in internal
control over financial reporting, such that there is a
reasonable possibility that a material misstatement of
the Funds' annual or interim financial statements will not
be prevented or detected on a timely basis.
Our consideration of the Funds' internal control over
financial reporting was for the limited purpose described
in the first paragraph and would not necessarily disclose
all deficiencies in internal control that might be material
weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted
no deficiencies in the Funds' internal control over financial
reporting and their operation, including controls over
safeguarding securities that we consider to be a material
weakness as defined above as of August 31, 2018.
This report is intended solely for the information and use of
management and the Board of Trustees of the Funds and the
Securities and Exchange Commission and is not intended to be
and should not be used by anyone other than these specified
parties.
/s/ KPMG LLP
Columbus, Ohio
October 26, 2018