Allison Walters

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-08-31
CA	RA	APPROVED	2020-09-04

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
University Of California, Santa Barbara	Santa Barbara	CA	06/2015	06/2019
Silvergreens	Goleta	CA	04/2018	10/2019
Axa Advisors, Llc	New York	NY	10/2019	06/2020
Equitable Advisors, Llc	New York	NY	10/2019	07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Francisco	CA	07/2020	Present
Bank Of America, N.A.	San Francisco	CA	09/2020	Present

06/2015 → 06/2019

University Of California, Santa Barbara

Santa Barbara, CA
04/2018 → 10/2019

Silvergreens

Goleta, CA
10/2019 → 06/2020

Axa Advisors, Llc

New York, NY
10/2019 → 07/2020

Equitable Advisors, Llc

New York, NY
07/2020 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA
09/2020 → Present

Bank Of America, N.A.

San Francisco, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-02-05

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