General Counsel

0001114667-20-000001.txt : 20200415 0001114667-20-000001.hdr.sgml : 20200415 20200415195033 ACCESSION NUMBER: 0001114667-20-000001 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200330 DATE AS OF CHANGE: 20200415 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Brown Advisory LLC CENTRAL INDEX KEY: 0001114667 IRS NUMBER: 260680642 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00799 FILM NUMBER: 20794821 BUSINESS ADDRESS: STREET 1: 901 SOUTH BOND STREET STREET 2: SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231 BUSINESS PHONE: 410-537-5400 MAIL ADDRESS: STREET 1: 901 SOUTH BOND STREET STREET 2: SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231 FORMER COMPANY: FORMER CONFORMED NAME: BEATY HAYNES & ASSOCIATES INC DATE OF NAME CHANGE: 20050811 FORMER COMPANY: FORMER CONFORMED NAME: BEATY HAYNES & PATTERSON INC DATE OF NAME CHANGE: 20000515 MA-A 1 primary_doc.xml MA-A 0001114667 XXXXXXXX Stacy Landsman 410-537-5314 slandsman@brownadvisory.com slandsman@brownadvisory.com 12-31-2019 Y Brown Advisory LLC 110181 26-0680642 866-01190-00 867-00799 801-38826 110181 901 South Bond Street, Suite #400 Baltimore MD 21231 800-645-3923 N www.brownadvisory.com Brett David Rogers General Counsel

901 South Bond Street, Suite #400 Baltimore MD 21231

410-537-5486 brogers@brownadvisory.com Stacy Ellen Landsman Senior Compliance Officer

901 South Bond Street, Sutie #400 Baltimore MD 21231

410-537-5314 slandsman@brownadvisory.com Brown Advisory Securities, LLC Y U.S. Securities and Exchange Commission; FINRA Brown Investment Advisory & Trust Company Y Office of the Commissioner of Financial Regulation of the State of Maryland MD Brown Advisory Trust Company of Delaware, LLC Y Office of the State Bank Commissioner of the State of Delaware DE Brown Advisory Limited Y Financial Conduct Authority; U.S. Securities and Exchange Commission X0 Meritage Capital, LLC Y U.S. Securities and Exchange Commission; CFTC Signature Financial Management, Inc. Y U.S. Securities and Exchange Commission NextGen Venture Partners, LLC Y U.S. Securities and Exchange Commission Brown Advisory Investment Solutions Group LLC Y U.S. Securities and Exchange Commission; CFTC December MD 06-07-1991 N 500 2 0 2 0 4 Municipal Entities Non-profit organizations 0 0 0 Not Applicable Other Municipal Advisory services are provided to certain investment management clients as an additional value-added service without a charge of additional fees. Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Use Of MD Advice On Selection Other Advise on debt management including the accelerated payment/call of outstanding municipal debt. Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Commodity pool operator Commodity trading advisor Trust Company 27 NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Brown Advisory Securities, LLC Brown Advisory Securities, LLC N Y N NewAdd Trust Company Brown Investment Advisory and Trust Company Brown Investment Advisory and Trust Company N Y N NewAdd Trust Company Brown Advisory Trust Company of Delaware, LLC Brown Advisory Trust Company of Delaware, LLC N Y N NewAdd Investment Adviser Brown Advisory Limited Brown Advisory Limited N Y Y Financial Conduct Authority X0 NewAdd Investment Adviser Commodity pool operator Meritage Capital, LLC Meritage Capital, LLC N Y N NewAdd Investment Adviser Commodity pool operator Brown Advisory Investment Solutions Group LLC Brown Advisory Investment Solutions Group LLC N Y N NewAdd Investment Adviser Signature Financial Management, Inc. Signature Financial Management, Inc. N Y N NewAdd Investment Adviser NextGen Venture Partners, LLC NextGen Venture Partners, LLC N Y N NewAdd Investment Company Brown Advisory Beutel Goodman Large Cap Value Fund Brown Advisory Beutel Goodman Large Cap Value Fund Y N N NewAdd Investment Company Brown Advisory - WMC Strategic European Equity Brown Advisory - WMC Strategic European Equity Y N N NewAdd Investment Company Brown Advisory Emerging Markets Select Fund Brown Advisory Emerging Markets Select Fund Y N N NewAdd Investment Company Brown Advisory Equity Income Fund Brown Advisory Equity Income Fund Y N N NewAdd Investment Company Brown Advisory Flexible Equity Fund Brown Advisory Flexible Equity Fund Y N N NewAdd Investment Company Brown Advisory Global Leaders Fund Brown Advisory Global Leaders Fund Y N N NewAdd Investment Company Brown Advisory Growth Equity Fund Brown Advisory Growth Equity Fund Y N N NewAdd Investment Company Brown Advisory Intermediate Income Fund Brown Advisory Intermediate Income Fund Y N N NewAdd Investment Company Brown Advisory Maryland Bond Fund Brown Advisory Maryland Bond Fund Y N N NewAdd Investment Company Brown Advisory Mid-Cap Growth Fund Brown Advisory Mid-Cap Growth Fund Y N N NewAdd Investment Company Brown Advisory Mortgage Securities Fund Brown Advisory Mortgage Securities Fund Y N N NewAdd Investment Company Brown Advisory Small-Cap Fundamental Value Fund Brown Advisory Small-Cap Fundamental Value Fund Y N N NewAdd Investment Company Brown Advisory Small-Cap Growth Fund Brown Advisory Small-Cap Growth Fund Y N N NewAdd Investment Company Brown Advisory Strategic Bond Fund Brown Advisory Strategic Bond Fund Y N N NewAdd Investment Company Brown Advisory Sustainable Bond Fund Brown Advisory Sustainable Bond Fund Y N N NewAdd Investment Company Brown Advisory Sustainable Growth Fund Brown Advisory Sustainable Growth Fund Y N N NewAdd Investment Company Brown Advisory Tax Exempt Bond Fund Brown Advisory Tax Exempt Bond Fund Y N N NewAdd Investment Company Brown Adv Tax-Exempt Sustainable Bond Fund Brown Adv Tax-Exempt Sustainable Bond Fund Y N N NewAdd Investment Company Brown Advisory Total Return Fund Brown Advisory Total Return Fund Y N N N Y N Y Y N Y Y Y N Y Y N N N In addition to our traditional investment management activities, we also serve as the general partner, managing member, and/or investment manager of various private and limited partnerships. These partnerships generally invest in public and private securities, private equity vehicles and hedge funds. N N N N N N N N N N N N N N N N N N N N N N N N N Y NewAdd Brown Advisory Management LLC N 26-4560299 Holding Company 01-01-2012 E Y NewAdd Michael David Hankin President & CEO 07-20-2007 NA Y 2339625 NewAdd David Michael Churchill EVP, Finance and Operation 07-20-2007 NA Y 2094155 NewAdd Brett David Rogers General Counsel & Chief Compliance Officer 04-01-2010 NA Y 4641164 NewAdd Brown Advisory Management LLC Brown Advisory Incorporated N 52-2112409 Unit Holder and Managing Member 07-01-2008 F Y NewAdd Brown Advisory Management LLC Brown Advisory Group Holdings LLC N 47-5471075 Holding Company 01-01-2016 C Y Brett D. Rogers Brett D. Rogers General Counsel & Chief Compliance Officer 03-30-2020 110181 N N N N N Y N N N N N N Y N N N N N N N