Benjamin Thomas Sweatt

$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
KS	RA	APPROVED	2025-06-02
TX	RA	APPROVED	2024-08-26
MO	RA	APPROVED	2024-08-24

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Independence	MO	05/2024	Present
Ryan Transportation Services, Inc	Overland Park	KS	09/2021	05/2024
Bullwinkle's Bar	Lawrence	KS	09/2020	12/2021
Pinnacle Staffing	Olathe	KS	01/2019	01/2019
Bullwinkle's Bar	Lawrence	KS	03/2018	01/2019
Education - University Of Kansas	Lawrence	KS	08/2017	05/2021
Carriage Club	Kansas City	MO	08/2016	07/2017
Custom Color	Lenexa	KS	01/2019	01/2019
Bank Of America, N.A.	Independence	MO	07/2024	Present

05/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Independence, MO
09/2021 → 05/2024

Ryan Transportation Services, Inc

Overland Park, KS
09/2020 → 12/2021

Bullwinkle's Bar

Lawrence, KS
01/2019 → 01/2019

Pinnacle Staffing

Olathe, KS
03/2018 → 01/2019

Bullwinkle's Bar

Lawrence, KS
08/2017 → 05/2021

Education - University Of Kansas

Lawrence, KS
08/2016 → 07/2017

Carriage Club

Kansas City, MO
01/2019 → 01/2019

Custom Color

Lenexa, KS
07/2024 → Present

Bank Of America, N.A.

Independence, MO

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-08-23

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