FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City: State: Country: ZIP+4/Postal Code:

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8450 FALLS OF NEUSE RD.

Number and Street 2:

SUITE 206

City:

RALEIGH

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27615

If this address is a private residence, check this box:

Telephone Number:

919-405-3800

Facsimile number, if any:

919-405-2427

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7701 SOUTHERN DRIVE

Number and Street 2:

SUITE C

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4825 EP TRUE PARKWAY

Number and Street 2:

SUITE 108

City:

WEST DES MOINES

State:

Iowa

Country:

United States

ZIP+4/Postal Code:

50265

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8450 FALLS OF NEUSE RD.

Number and Street 2:

SUITE 206

City:

RALEIGH

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27615

If this address is a private residence, check this box:

Telephone Number:

919-405-3800

Facsimile number, if any:

919-405-2427

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7701 SOUTHERN DRIVE

Number and Street 2:

SUITE C

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4825 EP TRUE PARKWAY

Number and Street 2:

SUITE 108

City:

WEST DES MOINES

State:

Iowa

Country:

United States

ZIP+4/Postal Code:

50265

If this address is a private residence, check this box:

Telephone Number:

515-223-0322

Facsimile number, if any:

515-223-0315

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

601 NORTH MAIN STREET

Number and Street 2:

City:

EAST LONGMEADOW

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01028

If this address is a private residence, check this box:

Telephone Number:

(413) 271-1147

Facsimile number, if any:

(413) 271-1146

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1301 GERVAIS STREET

Number and Street 2:

SUITE 405

City:

COLUMBIA

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29201

If this address is a private residence, check this box:

Telephone Number:

(803) 865-7666

Facsimile number, if any:

(803) 753-9103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8450 FALLS OF NEUSE RD.

Number and Street 2:

SUITE 206

City:

RALEIGH

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27615

If this address is a private residence, check this box:

Telephone Number:

919-405-3800

Facsimile number, if any:

919-405-2427

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7701 SOUTHERN DRIVE

Number and Street 2:

SUITE C

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4825 EP TRUE PARKWAY

Number and Street 2:

SUITE 108

City:

WEST DES MOINES

State:

Iowa

Country:

United States

ZIP+4/Postal Code:

50265

If this address is a private residence, check this box:

Telephone Number:

515-223-0322

Facsimile number, if any:

515-223-0315

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

601 NORTH MAIN STREET

Number and Street 2:

City:

EAST LONGMEADOW

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01028

If this address is a private residence, check this box:

Telephone Number:

(413) 271-1147

Facsimile number, if any:

(413) 271-1146

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1301 GERVAIS STREET

Number and Street 2:

SUITE 405

City:

COLUMBIA

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29201

If this address is a private residence, check this box:

Telephone Number:

(803) 865-7666

Facsimile number, if any:

(803) 753-9103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1200 EAST PARIS AVENUE SE

Number and Street 2:

SUITE 7

City:

GRAND RAPIDS

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

49546

If this address is a private residence, check this box:

Telephone Number:

(616) 949-5959

Facsimile number, if any:

(616) 949-6040

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2400 E. KATELLA AVE.

Number and Street 2:

SUITE 410

City:

ANAHEIM

State:

California

Country:

United States

ZIP+4/Postal Code:

92806

If this address is a private residence, check this box:

Telephone Number:

714-464-1512

Facsimile number, if any:

310-525-3321

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6933 PRESTON AVE.

Number and Street 2:

City:

LIVERMORE

State:

California

Country:

United States

ZIP+4/Postal Code:

94551

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8450 FALLS OF NEUSE RD.

Number and Street 2:

SUITE 206

City:

RALEIGH

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27615

If this address is a private residence, check this box:

Telephone Number:

919-405-3800

Facsimile number, if any:

919-405-2427

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7701 SOUTHERN DRIVE

Number and Street 2:

SUITE C

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4825 EP TRUE PARKWAY

Number and Street 2:

SUITE 108

City:

WEST DES MOINES

State:

Iowa

Country:

United States

ZIP+4/Postal Code:

50265

If this address is a private residence, check this box:

Telephone Number:

515-223-0322

Facsimile number, if any:

515-223-0315

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

601 NORTH MAIN STREET

Number and Street 2:

City:

EAST LONGMEADOW

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01028

If this address is a private residence, check this box:

Telephone Number:

(413) 271-1147

Facsimile number, if any:

(413) 271-1146

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1301 GERVAIS STREET

Number and Street 2:

SUITE 405

City:

COLUMBIA

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29201

If this address is a private residence, check this box:

Telephone Number:

(803) 865-7666

Facsimile number, if any:

(803) 753-9103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1200 EAST PARIS AVENUE SE

Number and Street 2:

SUITE 7

City:

GRAND RAPIDS

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

49546

If this address is a private residence, check this box:

Telephone Number:

(616) 949-5959

Facsimile number, if any:

(616) 949-6040

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2400 E. KATELLA AVE.

Number and Street 2:

SUITE 410

City:

ANAHEIM

State:

California

Country:

United States

ZIP+4/Postal Code:

92806

If this address is a private residence, check this box:

Telephone Number:

714-464-1512

Facsimile number, if any:

310-525-3321

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6933 PRESTON AVE.

Number and Street 2:

City:

LIVERMORE

State:

California

Country:

United States

ZIP+4/Postal Code:

94551

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

GLOBAL RELAY

Number and Street 1:

286 MADISON AVENUE

Number and Street 2:

7TH FLOOR

City:

NEW YORK

State:

New York

Country:

United States

ZIP+4/Postal Code:

10017

If this address is a private residence, check this box:

Telephone Number:

866-484-6630

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1650 HIGHWAY 6 SOUTH

Number and Street 2:

SUITE 100

City:

SUGAR LAND

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77478

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number: Facsimile number, if any:

FORM ADV

UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS

Primary Business Name: FINANCIAL ENGINES ADVISORS L.L.C. CRD Number: 104510

Other-Than-Annual Amendment - All Sections Rev. 03/2020

7/22/2021 2:21:44 PM

WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must

keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.

Item 1 Identifying Information

Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be

provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.

A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):

FINANCIAL ENGINES ADVISORS L.L.C.

B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.

FINANCIAL ENGINES ADVISORS L.L.C.

List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.

(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box

If you check this box, complete a Schedule R for each relying adviser.

C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of

your legal name or your primary business name:

D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55196

(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:

(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:

No Information Filed

E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 104510

If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.

(2) If you have additional CRD Numbers, your additional CRD numbers:

No Information Filed

F. Principal Office and Place of Business

(1) Address (do not use a P.O. Box):

Number and Street 1:

3315 SCOTT BLVD

Number and Street 2:

4TH FLOOR

City:

SANTA CLARA

State:

California

Country:

United States

ZIP+4/Postal Code:

95054

If this address is a private residence, check this box:

List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for

registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with

whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list

the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year.

(2) Days of week that you normally conduct business at your principal office and place of business:

Monday - Friday Other:

Normal business hours at this location:

9:00 A.M. - 5:00 P.M.

(3) Telephone number at this location:

408-498-6000

(4) Facsimile number at this location, if any:

408-498-6010

(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most

recently completed fiscal year?

156

G. Mailing address, if different from your principal office and place of business address:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

If this address is a private residence, check this box:

H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Yes No

I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?

If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website

address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other

information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do

not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media

platforms.

J. Chief Compliance Officer

(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief

Compliance Officer, if you have one. If not, you must complete Item 1.K. below.

Name: Other titles, if any:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if Chief Compliance Officer has one:

(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment

Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):

Name:

IRS Employer Identification Number:

K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you

may provide that information here.

Name: Titles:

Telephone number: Facsimile number, if any:

Number and Street 1: Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

Electronic mail (e-mail) address, if contact person has one:

Yes No

L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your

principal office and place of business?

If "yes," complete Section 1.L. of Schedule D.

Yes No

M. Are you registered with a foreign financial regulatory authority?

Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes,"

complete Section 1.M. of Schedule D.

Yes No

N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?

If yes, what is the approximate amount of your assets:

$1 billion to less than $10 billion

$10 billion to less than $50 billion

$50 billion or more

For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown

on the balance sheet for your most recent fiscal year end.

P. Provide your Legal Entity Identifier if you have one:

A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.

SECTION 1.B. Other Business Names

List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business name.

Name: EDELMAN FINANCIAL ENGINES

Jurisdictions

AL

AK

AZ

AR

CA

CO

CT

DE

DC

FL

GA

GU

HI

ID

IL

IN

IA

KS

KY

LA

ME

MD

MA

MI

MN

MS

MO

MT

NE

NV

NH

NJ

NM

NY

NC

ND

OH

OK

OR

PA

PR

RI

SC

SD

TN

TX

UT

VT

VI

VA

WA

WV

WI

WY

Other:

SECTION 1.F. Other Offices

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

913-319-8100

Facsimile Number, if any:

913-310-8181

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

11

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4000 LEGATO ROAD

Number and Street 2:

9TH FLOOR

City:

FAIRFAX

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22033

If this address is a private residence, check this box:

Telephone Number:

703-818-0800

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

61

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2700 PATRIOT BLVD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1130 RXR PLAZA

Number and Street 2:

SUITE 1130

City:

UNIONDALE

State:

New York

Country:

United States

ZIP+4/Postal Code:

11556

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

916-780-5353

Facsimile Number, if any:

916-960-2590

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile Number, if any:

617-556-2333

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

12510 PROSPERITY DR

Number and Street 2:

SUITE 350

City:

SILVER SPRING

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20904

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

19775 BELMONT EXECUTIVE PLAZA

Number and Street 2:

SUITE 300

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

8

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

328 NEWMAN SPRINGS ROAD

Number and Street 2:

SUITE #1

City:

RED BANK

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07701

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1800 DIAGONAL ROAD

Number and Street 2:

SUITE 480

City:

ALEXANDRIA

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22314

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

13

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 ANTON BLVD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

6550 ROCK SPRING DRIVE

Number and Street 2:

SUITE 510

City:

BETHESDA

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

20817

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

610-239-8323

Facsimile Number, if any:

610-239-8335

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

18851 NE 29TH AVE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1750 TYSONS BOULEVARD

Number and Street 2:

SUITE 910

City:

TYSONS CORNER

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22102

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

7900 GLADES ROAD

Number and Street 2:

SUITE 310

City:

BOCA RATON

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33434

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

25 BURLINGTON MALL ROAD

Number and Street 2:

SUITE 405

City:

BURLINGTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01803

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

10

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

57 WELLS AVENUE

Number and Street 2:

SUITE 31

City:

NEWTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02459

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1 EASTON OVAL

Number and Street 2:

SUITE 340

City:

COLUMBUS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43219

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

7

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

39555 ORCHARD HILL PLACE

Number and Street 2:

SUITE 365

City:

NOVI

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48375

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

5

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

602-522-4100

Facsimile Number, if any:

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

96

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1515 WEST 22ND STREET

Number and Street 2:

SUITE 850W

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

9

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

1390 TIMBERLAKE MANOR PKWY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

636-530-1884

Facsimile Number, if any:

636-530-1887

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business. You must complete a

separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or if you are an exempt reporting adviser, list only

the largest twenty-five offices (in terms of numbers of employees).

Number and Street 1:

650 FROM ROAD

Number and Street 2:

SUITE 460

City:

PARAMUS

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

07652

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile Number, if any:

703-818-1910

If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment adviser on the Uniform

Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:

How many employees perform investment advisory functions from this office location?

6

Are other business activities conducted at this office location? (check all that apply)

(1) Broker-dealer (registered or unregistered)

(2) Bank (including a separately identifiable department or division of a bank)

(3) Insurance broker or agent

(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)

(5) Registered municipal advisor

(6) Accountant or accounting firm

(7) Lawyer or law firm

Describe any other investment-related business activities conducted from this office location:

SECTION 1.I. Website Addresses

List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter,

Facebook and/or LinkedIn). You must complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://EO.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://SECURE.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/IN/LARRY-RAFFONE-A925263/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/larry-raffone-a925263/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/edelmanfinancialengines/

Address of Website/Account on Publicly Available Social Media Platform: https://www.instagram.com/ric_edelman/

Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/c/EdelmanFinancialEngines

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.SMART401K.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.JEANEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EMAPADVISOR.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/jasonvandeloo/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.EDELMANFINANCIAL.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://GPS.RICEDELMAN.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.INSTAGRAM.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.TWITTER.COM/EDELMANFINSERV

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/EDELMANFINANCIALSERVICES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES2

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.GLASSDOOR.COM/OVERVIEW/WORKING-AT-FINANCIAL-ENGINES-EI_IE7852.11,28.HTM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/MUTUALFUNDSTORE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.THEMUSE.COM/PROFILES/EDELMANFINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/FINANCIALENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.LINKEDIN.COM/COMPANY/EDELMAN-FINANCIAL-ENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://FINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/FINENGINES

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RETIREWELL

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.YOUTUBE.COM/USER/RICEDELMAN

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/LarryRaffone

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/KellySODonnell

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/JasonVandeLoo

Address of Website/Account on Publicly Available Social Media Platform: https://twitter.com/jean_edelman

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/ricedelman/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.ADVISORS.EDELMANFINANCIALENGINES.COM

Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/in/kelly-odonnell-94184b9/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.FACEBOOK.COM/EDELMANFINANCIALENGINES/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/CAREERSFE

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://RICEDELMANSHOW.COM/

Address of Website/Account on Publicly Available Social Media Platform: HTTPS://TWITTER.COM/RICEDELMAN

SECTION 1.L. Location of Books and Records

Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You must complete a separate

Schedule D, Section 1.L. for each location.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8342 PERKINS RD.

Number and Street 2:

SUITE M

City:

BATON ROUGE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70810

If this address is a private residence, check this box:

Telephone Number:

(225) 291-7878

Facsimile number, if any:

(225) 291-7957

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39425 GARFIELD RD

Number and Street 2:

SUITE 25

City:

CLINTON TOWNSHIP

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48308

If this address is a private residence, check this box:

Telephone Number:

(586) 978-7998

Facsimile number, if any:

(586) 978-7996

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1000 BALD HILL ROAD

Number and Street 2:

SUITE 5

City:

WARWICK

State:

Rhode Island

Country:

United States

ZIP+4/Postal Code:

02886

If this address is a private residence, check this box:

Telephone Number:

(401) 921-3331

Facsimile number, if any:

(401) 615-1538

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6565 AMERICAS PARKWAY NE

Number and Street 2:

SUITE 850

City:

ALBUQUERQUE

State:

New Mexico

Country:

United States

ZIP+4/Postal Code:

87110

If this address is a private residence, check this box:

Telephone Number:

(505) 888-0303

Facsimile number, if any:

(505) 880-0303

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

36040 DETROIT ROAD

Number and Street 2:

SUITE E

City:

AVON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44011

If this address is a private residence, check this box:

Telephone Number:

(440) 934-6565

Facsimile number, if any:

(440) 934-8025

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1111 NORTH NORTHSHORE DRIVE

Number and Street 2:

SUITE S-200

City:

KNOXVILLE

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37919

If this address is a private residence, check this box:

Telephone Number:

865-671-4900

Facsimile number, if any:

865-671-6080

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8450 FALLS OF NEUSE RD.

Number and Street 2:

SUITE 206

City:

RALEIGH

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27615

If this address is a private residence, check this box:

Telephone Number:

919-405-3800

Facsimile number, if any:

919-405-2427

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7701 SOUTHERN DRIVE

Number and Street 2:

SUITE C

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4825 EP TRUE PARKWAY

Number and Street 2:

SUITE 108

City:

WEST DES MOINES

State:

Iowa

Country:

United States

ZIP+4/Postal Code:

50265

If this address is a private residence, check this box:

Telephone Number:

515-223-0322

Facsimile number, if any:

515-223-0315

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

601 NORTH MAIN STREET

Number and Street 2:

City:

EAST LONGMEADOW

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

01028

If this address is a private residence, check this box:

Telephone Number:

(413) 271-1147

Facsimile number, if any:

(413) 271-1146

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1301 GERVAIS STREET

Number and Street 2:

SUITE 405

City:

COLUMBIA

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29201

If this address is a private residence, check this box:

Telephone Number:

(803) 865-7666

Facsimile number, if any:

(803) 753-9103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1200 EAST PARIS AVENUE SE

Number and Street 2:

SUITE 7

City:

GRAND RAPIDS

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

49546

If this address is a private residence, check this box:

Telephone Number:

(616) 949-5959

Facsimile number, if any:

(616) 949-6040

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2400 E. KATELLA AVE.

Number and Street 2:

SUITE 410

City:

ANAHEIM

State:

California

Country:

United States

ZIP+4/Postal Code:

92806

If this address is a private residence, check this box:

Telephone Number:

714-464-1512

Facsimile number, if any:

310-525-3321

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6933 PRESTON AVE.

Number and Street 2:

City:

LIVERMORE

State:

California

Country:

United States

ZIP+4/Postal Code:

94551

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

GLOBAL RELAY

Number and Street 1:

286 MADISON AVENUE

Number and Street 2:

7TH FLOOR

City:

NEW YORK

State:

New York

Country:

United States

ZIP+4/Postal Code:

10017

If this address is a private residence, check this box:

Telephone Number:

866-484-6630

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1650 HIGHWAY 6 SOUTH

Number and Street 2:

SUITE 100

City:

SUGAR LAND

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77478

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2901 DOUGLAS BLVD

Number and Street 2:

SUITE 250

City:

ROSEVILLE

State:

California

Country:

United States

ZIP+4/Postal Code:

95661

If this address is a private residence, check this box:

Telephone Number:

(916) 780-5353

Facsimile number, if any:

(916) 960-2590

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

457 HADDONFIELD ROAD

Number and Street 2:

SUITE 310

City:

CHERRY HILL

State:

New Jersey

Country:

United States

ZIP+4/Postal Code:

08002

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates. one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

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other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City: State: Country: ZIP+4/Postal Code:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

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other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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one of your branch offices or affiliates.

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

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other.

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ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

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INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

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Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

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other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3780 GREEN MOUNT CROSSING DR.

Number and Street 2:

City:

SHILOH

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

62269

If this address is a private residence, check this box:

Telephone Number:

(618) 632-2525

Facsimile number, if any:

(618) 632-2552

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6327 WILSON MILLS ROAD

Number and Street 2:

City:

HIGHLAND HEIGHTS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44143

If this address is a private residence, check this box:

Telephone Number:

(440) 919-2000

Facsimile number, if any:

(440) 919-2001

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18851 NE 29TH AVENUE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

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STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

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Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3780 GREEN MOUNT CROSSING DR.

Number and Street 2:

City:

SHILOH

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

62269

If this address is a private residence, check this box:

Telephone Number:

(618) 632-2525

Facsimile number, if any:

(618) 632-2552

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6327 WILSON MILLS ROAD

Number and Street 2:

City:

HIGHLAND HEIGHTS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44143

If this address is a private residence, check this box:

Telephone Number:

(440) 919-2000

Facsimile number, if any:

(440) 919-2001

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18851 NE 29TH AVENUE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3051 AKERS MILL RD SE

Number and Street 2:

SUITE 110

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30339

If this address is a private residence, check this box:

Telephone Number:

(770) 419-8989

Facsimile number, if any:

(770) 419-8990

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8555 N. RIVER ROAD

Number and Street 2:

SUITE 350

City:

INDIANAPOLIS

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46240

If this address is a private residence, check this box:

Telephone Number:

(317) 579-0700

Facsimile number, if any:

(317) 579-0715

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

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OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3780 GREEN MOUNT CROSSING DR.

Number and Street 2:

City:

SHILOH

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

62269

If this address is a private residence, check this box:

Telephone Number:

(618) 632-2525

Facsimile number, if any:

(618) 632-2552

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6327 WILSON MILLS ROAD

Number and Street 2:

City:

HIGHLAND HEIGHTS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44143

If this address is a private residence, check this box:

Telephone Number:

(440) 919-2000

Facsimile number, if any:

(440) 919-2001

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18851 NE 29TH AVENUE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3051 AKERS MILL RD SE

Number and Street 2:

SUITE 110

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30339

If this address is a private residence, check this box:

Telephone Number:

(770) 419-8989

Facsimile number, if any:

(770) 419-8990

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8555 N. RIVER ROAD

Number and Street 2:

SUITE 350

City:

INDIANAPOLIS

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46240

If this address is a private residence, check this box:

Telephone Number:

(317) 579-0700

Facsimile number, if any:

(317) 579-0715

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

8001 RESEARCH WAY

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22153

If this address is a private residence, check this box:

Telephone Number:

703-455-1467

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

IT BACK-UP TAPES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 DONEGAL DRIVE

Number and Street 2:

SUITE 40

City:

WOODBURY

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55125

If this address is a private residence, check this box:

Telephone Number:

(651) 714-9505

Facsimile number, if any:

(651) 714-9502

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1499 WINDHORST WAY

Number and Street 2:

SUITE 210

City:

GREENWOOD

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46143

If this address is a private residence, check this box:

Telephone Number:

(317) 851-8417

Facsimile number, if any:

(317) 851-8572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3780 GREEN MOUNT CROSSING DR.

Number and Street 2:

City:

SHILOH

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

62269

If this address is a private residence, check this box:

Telephone Number:

(618) 632-2525

Facsimile number, if any:

(618) 632-2552

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6327 WILSON MILLS ROAD

Number and Street 2:

City:

HIGHLAND HEIGHTS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44143

If this address is a private residence, check this box:

Telephone Number:

(440) 919-2000

Facsimile number, if any:

(440) 919-2001

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18851 NE 29TH AVENUE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3051 AKERS MILL RD SE

Number and Street 2:

SUITE 110

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30339

If this address is a private residence, check this box:

Telephone Number:

(770) 419-8989

Facsimile number, if any:

(770) 419-8990

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8555 N. RIVER ROAD

Number and Street 2:

SUITE 350

City:

INDIANAPOLIS

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46240

If this address is a private residence, check this box:

Telephone Number:

(317) 579-0700

Facsimile number, if any:

(317) 579-0715

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

8001 RESEARCH WAY

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22153

If this address is a private residence, check this box:

Telephone Number:

703-455-1467

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

IT BACK-UP TAPES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 DONEGAL DRIVE

Number and Street 2:

SUITE 40

City:

WOODBURY

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55125

If this address is a private residence, check this box:

Telephone Number:

(651) 714-9505

Facsimile number, if any:

(651) 714-9502

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1499 WINDHORST WAY

Number and Street 2:

SUITE 210

City:

GREENWOOD

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46143

If this address is a private residence, check this box:

Telephone Number:

(317) 851-8417

Facsimile number, if any:

(317) 851-8572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9747 E. 21ST ST. N.

Number and Street 2:

SUITE 123

City:

WICHITA

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

67206

If this address is a private residence, check this box:

Telephone Number:

316-260-5200

Facsimile number, if any:

316-260-8959

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1605 CARMODY COURT

Number and Street 2:

SUITE 100

City:

SEWICKLEY

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

15143

If this address is a private residence, check this box:

Telephone Number:

(724) 779-7795

Facsimile number, if any:

(724) 779-2258

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

22308 MIDLAND DR

Number and Street 2:

City:

SHAWNEE

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66226

If this address is a private residence, check this box:

Telephone Number: Facsimile number, if any:

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

573 NORTH 155TH PLAZA

Number and Street 2:

City:

OMAHA

State:

Nebraska

Country:

United States

ZIP+4/Postal Code:

68154

If this address is a private residence, check this box:

Telephone Number:

(402) 896-6464

Facsimile number, if any:

(402) 896-0189

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SMARSH

Number and Street 1:

851 SW 6TH AVE

Number and Street 2:

SUITE 800

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97204

If this address is a private residence, check this box:

Telephone Number:

866-762-7741

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 MEDINA RD.

Number and Street 2:

SUITE Q

City:

AKRON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44333

If this address is a private residence, check this box:

Telephone Number:

(330) 576-6150

Facsimile number, if any:

(330) 576-6366

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

N16W23217 STONE RIDGE DRIVE

Number and Street 2:

SUITE 100

City:

WAUKESHA

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53188

If this address is a private residence, check this box:

Telephone Number:

(262) 717-0022

Facsimile number, if any:

(262) 717-9579

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2505 S. 320TH ST

Number and Street 2:

SUITE 220

City:

FEDERAL WAY

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98003

If this address is a private residence, check this box:

Telephone Number:

253-529-3322

Facsimile number, if any:

253-529-3388

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7726 SOUTHERN DRIVE

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

2702 JEFFERSON DAVIS HIGHWAY

Number and Street 2:

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

INVESTMENT ADVISORY TRADING AND CLIENT FILES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1331 GEMINI AVENUE

Number and Street 2:

SUITE 200-A

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77058

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3592-101 SPRINGHURST BLVD.

Number and Street 2:

City:

LOUISVILLE

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40241

If this address is a private residence, check this box:

Telephone Number:

(502) 425-2512

Facsimile number, if any:

(502) 425-2572

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

SUMMIT WOODS I BUILDING

Number and Street 2:

100 EAST BUSINESS WAY SUITE 360

City:

CINCINNATI

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45241

If this address is a private residence, check this box:

Telephone Number:

(513) 985-0100

Facsimile number, if any:

(513) 985-0013

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2700 PATRIOT BOULEVARD

Number and Street 2:

SUITE 120

City:

GLENVIEW

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60026

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4383 OLD HARRODSBURG ROAD

Number and Street 2:

SUITE 125

City:

LEXINGTON

State:

Kentucky

Country:

United States

ZIP+4/Postal Code:

40513

If this address is a private residence, check this box:

Telephone Number:

(859) 317-2747

Facsimile number, if any:

(866) 558-9257

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4350 WEST CYPRESS ST

Number and Street 2:

SUITE 101

City:

TAMPA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33607

If this address is a private residence, check this box:

Telephone Number:

(813) 661-1717

Facsimile number, if any:

(813) 870-0101

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2890 E. DUPONT ROAD

Number and Street 2:

City:

FORT WAYNE

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46825

If this address is a private residence, check this box:

Telephone Number:

(260) 459-3939

Facsimile number, if any:

(260) 459-8434

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3531 W. MEMORIAL ROAD

Number and Street 2:

CROSS ROCK SHOPS

City:

OKLAHOMA CITY

State:

Oklahoma

Country:

United States

ZIP+4/Postal Code:

73134

If this address is a private residence, check this box:

Telephone Number:

405-418-2626

Facsimile number, if any:

405-418-2629

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 SATELLITE BOULEVARD

Number and Street 2:

SUITE 3500

City:

DULUTH

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30097

If this address is a private residence, check this box:

Telephone Number:

(678) 714-4900

Facsimile number, if any:

(678) 714-4901

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8752 E. SHEA BLVD.

Number and Street 2:

SUITE 130

City:

SCOTTSDALE

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85260

If this address is a private residence, check this box:

Telephone Number:

(480) 946-3626

Facsimile number, if any:

(480) 951-7731

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

DATAPROS

Number and Street 1:

23042 N. 15TH LANE

Number and Street 2:

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85027

If this address is a private residence, check this box:

Telephone Number:

623-434-0748

Facsimile number, if any:

623-434-0754

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

STORAGE CENTER FOR CERTAIN CLIENT COMMUNICATION RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

277 BENDIX RD

Number and Street 2:

SUITE 150

City:

VIRGINIA BEACH

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23452

If this address is a private residence, check this box:

Telephone Number:

(757) 201-7444

Facsimile number, if any:

(757) 201-7338

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

6601 S. LABURNUM AVENUE

Number and Street 2:

SUITE F

City:

RICHMOND

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23231

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

475 W. DUSSEL DRIVE

Number and Street 2:

City:

MAUMEE

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43537

If this address is a private residence, check this box:

Telephone Number:

(419) 897-2222

Facsimile number, if any:

(419) 897-2215

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3021 BUTTERFIELD ROAD

Number and Street 2:

SUITE 202

City:

OAK BROOK

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60523

If this address is a private residence, check this box:

Telephone Number:

(630) 368-1818

Facsimile number, if any:

(630) 368-1817

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

KC UNDERGROUND VAULTS AND STORAGE

Number and Street 1:

8600 NE UNDERGROUND DRIVE

Number and Street 2:

PILLAR 146

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64161

If this address is a private residence, check this box:

Telephone Number:

816-455-2640

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

1625 W. NATIONAL DRIVE

Number and Street 2:

City:

SACRAMENTO

State:

California

Country:

United States

ZIP+4/Postal Code:

95834

If this address is a private residence, check this box:

Telephone Number:

916-286-3000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

SECONDARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT BACKS UP ITS SERVERS

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

7706 SOUTHERN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22150

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

20700 44TH AVE WEST

Number and Street 2:

SUITE 240

City:

LYNNWOOD

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98036

If this address is a private residence, check this box:

Telephone Number:

425-918-1414

Facsimile number, if any:

425-918-1441

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5080 TUTTLE CROSSING BLVD

Number and Street 2:

SUITE 350

City:

DUBLIN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

43016

If this address is a private residence, check this box:

Telephone Number:

(614) 717-0707

Facsimile number, if any:

(614) 717-0757

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

5015 CAMPUSWOOD DRIVE

Number and Street 2:

SUITE 201

City:

EAST SYRACUSE

State:

New York

Country:

United States

ZIP+4/Postal Code:

13057

If this address is a private residence, check this box:

Telephone Number:

(315) 453-8080

Facsimile number, if any:

(315) 453-8008

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

19026 RIDGEWOOD PKWY

Number and Street 2:

SUITE 316

City:

SAN ANTONIO

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78259

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

866-742-7222

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

200 WESTGATE PARKWAY

Number and Street 2:

SUITE 202

City:

HENRICO

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23233

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

900 BESTGATE ROAD

Number and Street 2:

SUITE 407

City:

ANNAPOLIS

State:

Maryland

Country:

United States

ZIP+4/Postal Code:

21401

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

22445 RANDOLPH DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10100 INNOVATION DRIVE

Number and Street 2:

SUITE 160

City:

DAYTON

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

45342

If this address is a private residence, check this box:

Telephone Number:

(937) 431-1925

Facsimile number, if any:

(937) 431-5515

This is (check one):

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other.

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2501 WEST BELTLINE HIGHWAY

Number and Street 2:

SUITE 103

City:

MADISON

State:

Wisconsin

Country:

United States

ZIP+4/Postal Code:

53713

If this address is a private residence, check this box:

Telephone Number:

(608) 234-5121

Facsimile number, if any:

(608) 237-3109

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6242 POPLAR AVE

Number and Street 2:

City:

MEMPHIS

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

38119

If this address is a private residence, check this box:

Telephone Number:

(901) 751-7272

Facsimile number, if any:

(901) 205-0531

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4301 HACIENDA DRIVE

Number and Street 2:

SUITE 100

City:

PLEASANTON

State:

California

Country:

United States

ZIP+4/Postal Code:

94588

If this address is a private residence, check this box:

Telephone Number:

(925) 227-0555

Facsimile number, if any:

(925) 737-0395

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4401 LEEDS AVE.

Number and Street 2:

SUITE 225

City:

NORTH CHARLESTON

State:

South Carolina

Country:

United States

ZIP+4/Postal Code:

29405

If this address is a private residence, check this box:

Telephone Number:

843-952-2135

Facsimile number, if any:

843-790-5549

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

403 GLENN DRIVE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20164

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

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BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

500 108TH AVENUE NE

Number and Street 2:

SUITE 1840

City:

BELLEVUE

State:

Washington

Country:

United States

ZIP+4/Postal Code:

98004

If this address is a private residence, check this box:

Telephone Number:

425-247-2956

Facsimile number, if any:

425-453-1345

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

39775 TRADITIONS DRIVE

Number and Street 2:

SUITE D-800

City:

NORTHVILLE

State:

Michigan

Country:

United States

ZIP+4/Postal Code:

48168

If this address is a private residence, check this box:

Telephone Number:

(248) 348-3535

Facsimile number, if any:

(248) 348-3555

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

7201 W. LAKE MEAD BLVD

Number and Street 2:

SUITE 110

City:

LAS VEGAS

State:

Nevada

Country:

United States

ZIP+4/Postal Code:

89128

If this address is a private residence, check this box:

Telephone Number:

(702) 651-6464

Facsimile number, if any:

(702) 651-9015

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

12958 MIDWAY PLACE

Number and Street 2:

City:

CERRITOS

State:

California

Country:

United States

ZIP+4/Postal Code:

90703

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

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other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 ANTON BOULEVARD

Number and Street 2:

SUITE 1750

City:

COSTA MESA

State:

California

Country:

United States

ZIP+4/Postal Code:

92626

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3595 GRANDVIEW PARKWAY

Number and Street 2:

SUITE 475

City:

BIRMINGHAM

State:

Alabama

Country:

United States

ZIP+4/Postal Code:

35243

If this address is a private residence, check this box:

Telephone Number:

(205) 403-9200

Facsimile number, if any:

(205) 403-9133

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3355 LENOX ROAD

Number and Street 2:

SUITE 950

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30326

If this address is a private residence, check this box:

Telephone Number:

(404) 602-5200

Facsimile number, if any:

(470) 225-8252

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9423 N. FORT WASHINGTON RD.

Number and Street 2:

SUITE 104

City:

FRESNO

State:

California

Country:

United States

ZIP+4/Postal Code:

93730

If this address is a private residence, check this box:

Telephone Number:

559-434-9800

Facsimile number, if any:

559-434-9804

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2825 EAST COTTONWOOD PARKWAY

Number and Street 2:

SUITE 460

City:

SALT LAKE CITY

State:

Utah

Country:

United States

ZIP+4/Postal Code:

84121

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1317 NE DOUGLAS ST

Number and Street 2:

City:

LEE'S SUMMIT

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64086

If this address is a private residence, check this box:

Telephone Number:

816-347-0200

Facsimile number, if any:

816-347-0227

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1120 W. 122ND AVE

Number and Street 2:

SUITE 300

City:

WESTMINSTER

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80234

If this address is a private residence, check this box:

Telephone Number:

(303) 280-0626

Facsimile number, if any:

(303) 280-2385

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2500 WEST WILLIAM CANNON DRIVE

Number and Street 2:

SUITE 804

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78745

If this address is a private residence, check this box:

Telephone Number:

(512) 329-6620

Facsimile number, if any:

(512) 382-6183

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

11006 RUSHMORE DRIVE

Number and Street 2:

SUITE 175

City:

CHARLOTTE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

28277

If this address is a private residence, check this box:

Telephone Number:

(704) 553-9553

Facsimile number, if any:

(704) 553-9496

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

309 CLIFTON PARK CENTER RD

Number and Street 2:

SUITE 10

City:

CLIFTON PARK

State:

New York

Country:

United States

ZIP+4/Postal Code:

12065

If this address is a private residence, check this box:

Telephone Number:

(518) 371-2004

Facsimile number, if any:

(518) 371-1916

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

520 EASTPARK COURT

Number and Street 2:

SUITE 190

City:

SANDSTON

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

23234

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3780 GREEN MOUNT CROSSING DR.

Number and Street 2:

City:

SHILOH

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

62269

If this address is a private residence, check this box:

Telephone Number:

(618) 632-2525

Facsimile number, if any:

(618) 632-2552

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6327 WILSON MILLS ROAD

Number and Street 2:

City:

HIGHLAND HEIGHTS

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44143

If this address is a private residence, check this box:

Telephone Number:

(440) 919-2000

Facsimile number, if any:

(440) 919-2001

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18851 NE 29TH AVENUE

Number and Street 2:

SUITE 501

City:

AVENTURA

State:

Florida

Country:

United States

ZIP+4/Postal Code:

33180

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3051 AKERS MILL RD SE

Number and Street 2:

SUITE 110

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30339

If this address is a private residence, check this box:

Telephone Number:

(770) 419-8989

Facsimile number, if any:

(770) 419-8990

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8555 N. RIVER ROAD

Number and Street 2:

SUITE 350

City:

INDIANAPOLIS

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46240

If this address is a private residence, check this box:

Telephone Number:

(317) 579-0700

Facsimile number, if any:

(317) 579-0715

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

8001 RESEARCH WAY

Number and Street 2:

City:

SPRINGFIELD

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

22153

If this address is a private residence, check this box:

Telephone Number:

703-455-1467

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

IT BACK-UP TAPES

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1960 DONEGAL DRIVE

Number and Street 2:

SUITE 40

City:

WOODBURY

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55125

If this address is a private residence, check this box:

Telephone Number:

(651) 714-9505

Facsimile number, if any:

(651) 714-9502

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1499 WINDHORST WAY

Number and Street 2:

SUITE 210

City:

GREENWOOD

State:

Indiana

Country:

United States

ZIP+4/Postal Code:

46143

If this address is a private residence, check this box:

Telephone Number:

(317) 851-8417

Facsimile number, if any:

(317) 851-8572

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9747 E. 21ST ST. N.

Number and Street 2:

SUITE 123

City:

WICHITA

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

67206

If this address is a private residence, check this box:

Telephone Number:

316-260-5200

Facsimile number, if any:

316-260-8959

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1605 CARMODY COURT

Number and Street 2:

SUITE 100

City:

SEWICKLEY

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

15143

If this address is a private residence, check this box:

Telephone Number:

(724) 779-7795

Facsimile number, if any:

(724) 779-2258

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

22308 MIDLAND DR

Number and Street 2:

City:

SHAWNEE

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66226

If this address is a private residence, check this box:

Telephone Number:

913-422-4800

Facsimile number, if any:

913-422-4801

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

RAGINGWIRE

Number and Street 1:

44664 GUILFORD DRIVE

Number and Street 2:

City:

ASHBURN

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20147

If this address is a private residence, check this box:

Telephone Number:

703-840-7720

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

PRIMARY THIRD PARTY COLOCATION FACILITY WHERE OUR IT DEPARTMENT HOUSES ITS SERVERS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2308 PATTON ROAD

Number and Street 2:

SUITE G

City:

HARRISBURG

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

17112

If this address is a private residence, check this box:

Telephone Number:

717-540-7992

Facsimile number, if any:

717-540-7994

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1: Number and Street 2:

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1: Number and Street 2:

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8889 PELICAN BAY BLVD

Number and Street 2:

SUITE 401

City:

NAPLES

State:

Florida

Country:

United States

ZIP+4/Postal Code:

34108

If this address is a private residence, check this box:

Telephone Number:

239-920-5831

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1835 E REPUBLIC RD

Number and Street 2:

SUITE 104

City:

SPRINGFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

65804

If this address is a private residence, check this box:

Telephone Number:

417-889-9997

Facsimile number, if any:

417-889-7550

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6500 SHERIDAN DRIVE

Number and Street 2:

SUITE 110

City:

AMHERST

State:

New York

Country:

United States

ZIP+4/Postal Code:

14221

If this address is a private residence, check this box:

Telephone Number:

(716) 832-0035

Facsimile number, if any:

(716) 768-5310

This is (check one):

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8889 PELICAN BAY BLVD

Number and Street 2:

SUITE 401

City:

NAPLES

State:

Florida

Country:

United States

ZIP+4/Postal Code:

34108

If this address is a private residence, check this box:

Telephone Number:

239-920-5831

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1835 E REPUBLIC RD

Number and Street 2:

SUITE 104

City:

SPRINGFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

65804

If this address is a private residence, check this box:

Telephone Number:

417-889-9997

Facsimile number, if any:

417-889-7550

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6500 SHERIDAN DRIVE

Number and Street 2:

SUITE 110

City:

AMHERST

State:

New York

Country:

United States

ZIP+4/Postal Code:

14221

If this address is a private residence, check this box:

Telephone Number:

(716) 832-0035

Facsimile number, if any:

(716) 768-5310

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4865 NORTH WICKHAM ROAD

Number and Street 2:

SUITE 108

City:

MELBOURNE

State:

Florida

Country:

United States

ZIP+4/Postal Code:

32940

If this address is a private residence, check this box:

Telephone Number:

(321) 751-6162

Facsimile number, if any:

(321) 751-6169

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8610 EXPLORER DRIVE

Number and Street 2:

SUITE 120

City:

COLORADO SPRINGS

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80920

If this address is a private residence, check this box:

Telephone Number:

(719) 594-6800

Facsimile number, if any:

(719) 594-6886

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

21515 HAWTHORNE BLVD

Number and Street 2:

SUITE 580

City:

TORRANCE

State:

California

Country:

United States

ZIP+4/Postal Code:

90503

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8889 PELICAN BAY BLVD

Number and Street 2:

SUITE 401

City:

NAPLES

State:

Florida

Country:

United States

ZIP+4/Postal Code:

34108

If this address is a private residence, check this box:

Telephone Number:

239-920-5831

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1835 E REPUBLIC RD

Number and Street 2:

SUITE 104

City:

SPRINGFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

65804

If this address is a private residence, check this box:

Telephone Number:

417-889-9997

Facsimile number, if any:

417-889-7550

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6500 SHERIDAN DRIVE

Number and Street 2:

SUITE 110

City:

AMHERST

State:

New York

Country:

United States

ZIP+4/Postal Code:

14221

If this address is a private residence, check this box:

Telephone Number:

(716) 832-0035

Facsimile number, if any:

(716) 768-5310

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4865 NORTH WICKHAM ROAD

Number and Street 2:

SUITE 108

City:

MELBOURNE

State:

Florida

Country:

United States

ZIP+4/Postal Code:

32940

If this address is a private residence, check this box:

Telephone Number:

(321) 751-6162

Facsimile number, if any:

(321) 751-6169

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8610 EXPLORER DRIVE

Number and Street 2:

SUITE 120

City:

COLORADO SPRINGS

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80920

If this address is a private residence, check this box:

Telephone Number:

(719) 594-6800

Facsimile number, if any:

(719) 594-6886

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

21515 HAWTHORNE BLVD

Number and Street 2:

SUITE 580

City:

TORRANCE

State:

California

Country:

United States

ZIP+4/Postal Code:

90503

If this address is a private residence, check this box:

Telephone Number:

(424) 903-7477

Facsimile number, if any:

(310) 525-3321

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3950 CIVIC CENTER DRIVE

Number and Street 2:

SUITE 315

City:

SAN RAFAEL

State:

California

Country:

United States

ZIP+4/Postal Code:

94903

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SALESFORCE

Number and Street 1:

1 MARKET STREET

Number and Street 2:

SUITE 300

City:

SAN FRANCISCO

State:

California

Country:

United States

ZIP+4/Postal Code:

94105

If this address is a private residence, check this box:

Telephone Number:

415-901-7000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CLIENT RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8889 PELICAN BAY BLVD

Number and Street 2:

SUITE 401

City:

NAPLES

State:

Florida

Country:

United States

ZIP+4/Postal Code:

34108

If this address is a private residence, check this box:

Telephone Number:

239-920-5831

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1835 E REPUBLIC RD

Number and Street 2:

SUITE 104

City:

SPRINGFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

65804

If this address is a private residence, check this box:

Telephone Number:

417-889-9997

Facsimile number, if any:

417-889-7550

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6500 SHERIDAN DRIVE

Number and Street 2:

SUITE 110

City:

AMHERST

State:

New York

Country:

United States

ZIP+4/Postal Code:

14221

If this address is a private residence, check this box:

Telephone Number:

(716) 832-0035

Facsimile number, if any:

(716) 768-5310

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4865 NORTH WICKHAM ROAD

Number and Street 2:

SUITE 108

City:

MELBOURNE

State:

Florida

Country:

United States

ZIP+4/Postal Code:

32940

If this address is a private residence, check this box:

Telephone Number:

(321) 751-6162

Facsimile number, if any:

(321) 751-6169

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8610 EXPLORER DRIVE

Number and Street 2:

SUITE 120

City:

COLORADO SPRINGS

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80920

If this address is a private residence, check this box:

Telephone Number:

(719) 594-6800

Facsimile number, if any:

(719) 594-6886

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

21515 HAWTHORNE BLVD

Number and Street 2:

SUITE 580

City:

TORRANCE

State:

California

Country:

United States

ZIP+4/Postal Code:

90503

If this address is a private residence, check this box:

Telephone Number:

(424) 903-7477

Facsimile number, if any:

(310) 525-3321

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3950 CIVIC CENTER DRIVE

Number and Street 2:

SUITE 315

City:

SAN RAFAEL

State:

California

Country:

United States

ZIP+4/Postal Code:

94903

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SALESFORCE

Number and Street 1:

1 MARKET STREET

Number and Street 2:

SUITE 300

City:

SAN FRANCISCO

State:

California

Country:

United States

ZIP+4/Postal Code:

94105

If this address is a private residence, check this box:

Telephone Number:

415-901-7000

Facsimile number, if any:

This is (check one):

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a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CLIENT RECORDS

Name of entity where books and records are kept:

CFM PARTNERS, INC.

Number and Street 1:

1701 RHODE ISLAND AVENUE, NW

Number and Street 2:

City:

WASHINGTON

State:

District of Columbia

Country:

United States

ZIP+4/Postal Code:

20036

If this address is a private residence, check this box:

Telephone Number:

202-364-7741

Facsimile number, if any:

This is (check one):

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES

Name of entity where books and records are kept:

REGED

Number and Street 1:

2100 GATEWAY CENTRE BLVD.

Number and Street 2:

SUITE 200

City:

MORRISVILLE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27560

If this address is a private residence, check this box:

Telephone Number:

800-334-8322

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

RECORDS RELATED TO CODE OF ETHICS

Name of entity where books and records are kept:

MYCOMPLIANCEOFFICE

Number and Street 1:

535 FIFTH AVENUE

Number and Street 2:

4TH FLOOR

City:

NEW YORK

State:

New York

Country:

United States

ZIP+4/Postal Code:

10017

If this address is a private residence, check this box:

Telephone Number:

866-981-1558

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1449 BOARDMAN-CANFIELD RD

Number and Street 2:

SUITE 170

City:

BOARDMAN

State:

Ohio

Country:

United States

ZIP+4/Postal Code:

44512

If this address is a private residence, check this box:

Telephone Number:

(330) 726-3100

Facsimile number, if any:

(330) 726-3103

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

600 W. GERMANTOWN PIKE

Number and Street 2:

SUITE 100

City:

PLYMOUTH MEETING

State:

Pennsylvania

Country:

United States

ZIP+4/Postal Code:

19462

If this address is a private residence, check this box:

Telephone Number:

(610) 239-8323

Facsimile number, if any:

(610) 239-8335

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4129 ELM PARK DRIVE

Number and Street 2:

City:

ST. LOUIS

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63128

If this address is a private residence, check this box:

Telephone Number:

(314) 845-9700

Facsimile number, if any:

(314) 845-9701

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

44820 ACACIA LANE

Number and Street 2:

City:

STERLING

State:

Virginia

Country:

United States

ZIP+4/Postal Code:

20166

If this address is a private residence, check this box:

Telephone Number:

800-934-3453

Facsimile number, if any:

800-934-5348

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

BOOKS AND RECORDS OVER TWO YEARS OLD

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

350 LINDEN OAKS

Number and Street 2:

1ST FLOOR

City:

ROCHESTER

State:

New York

Country:

United States

ZIP+4/Postal Code:

14625

If this address is a private residence, check this box:

Telephone Number:

(585) 244-3000

Facsimile number, if any:

(585) 244-8249

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2180 N CAUSEWAY BLVD.

Number and Street 2:

SUITE 9

City:

MANDEVILLE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70471

If this address is a private residence, check this box:

Telephone Number:

(985) 778-2023

Facsimile number, if any:

(985) 778-2027

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

207 EAST SHORE DRIVE

Number and Street 2:

SUITE 230

City:

SPRING

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77380

If this address is a private residence, check this box:

Telephone Number:

832-813-8223

Facsimile number, if any:

832-813-8208

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9483 GARLAND LANE NORTH

Number and Street 2:

City:

MAPLE GROVE

State:

Minnesota

Country:

United States

ZIP+4/Postal Code:

55311

If this address is a private residence, check this box:

Telephone Number:

(763) 494-8889

Facsimile number, if any:

(763) 494-8804

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9050 N. CAPITAL OF TX HWY

Number and Street 2:

BUILDING 3, SUITE 150

City:

AUSTIN

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78759

If this address is a private residence, check this box:

Telephone Number:

(512) 490-0044

Facsimile number, if any:

(512) 490-6699

This is (check one):

one of your branch offices or affiliates.

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other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10500 SW GREENBURG

Number and Street 2:

SUITE 200

City:

PORTLAND

State:

Oregon

Country:

United States

ZIP+4/Postal Code:

97223

If this address is a private residence, check this box:

Telephone Number:

(503) 718-6118

Facsimile number, if any:

(503) 718-6119

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

109 WEST PARK

Number and Street 2:

SUITE 120

City:

BRENTWOOD

State:

Tennessee

Country:

United States

ZIP+4/Postal Code:

37027

If this address is a private residence, check this box:

Telephone Number:

615-778-3232

Facsimile number, if any:

615-778-0009

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1885 ST. JAMES PLACE

Number and Street 2:

SUITE 1340

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77056

If this address is a private residence, check this box:

Telephone Number:

888-752-6742

Facsimile number, if any:

703-818-1910

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1390 TIMBERLAKE MANOR PARKWAY

Number and Street 2:

SUITE 130

City:

CHESTERFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

63017

If this address is a private residence, check this box:

Telephone Number:

(636) 530-1884

Facsimile number, if any:

(636) 530-1887

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

9203 NE 152 HWY

Number and Street 2:

City:

KANSAS CITY

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

64158

If this address is a private residence, check this box:

Telephone Number:

816-415-2722

Facsimile number, if any:

816-415-2730

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

18927 HICKORY CREEK DRIVE

Number and Street 2:

SUITE 310

City:

MOKENA

State:

Illinois

Country:

United States

ZIP+4/Postal Code:

60448

If this address is a private residence, check this box:

Telephone Number:

(708) 364-9200

Facsimile number, if any:

(708) 364-9292

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

10950 GRANDVIEW DRIVE

Number and Street 2:

SUITE 500

City:

OVERLAND PARK

State:

Kansas

Country:

United States

ZIP+4/Postal Code:

66210

If this address is a private residence, check this box:

Telephone Number:

(913) 319-8100

Facsimile number, if any:

(913) 310-8181

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

2100 WEST LOOP SOUTH

Number and Street 2:

SUITE 750

City:

HOUSTON

State:

Texas

Country:

United States

ZIP+4/Postal Code:

77027

If this address is a private residence, check this box:

Telephone Number:

713-877-0200

Facsimile number, if any:

713-877-0201

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4742 N. 24TH STREET

Number and Street 2:

SUITE 270

City:

PHOENIX

State:

Arizona

Country:

United States

ZIP+4/Postal Code:

85016

If this address is a private residence, check this box:

Telephone Number:

(602) 522.4100

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN CORRESPONDENCE AND CLIENT COMMUNICATIONS RECORDS.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

28 STATE STREET

Number and Street 2:

21ST FLOOR

City:

BOSTON

State:

Massachusetts

Country:

United States

ZIP+4/Postal Code:

02109

If this address is a private residence, check this box:

Telephone Number:

617-556-2300

Facsimile number, if any:

617-556-2333

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

CERTAIN MARKETING COMMUNICATIONS, CERTAIN AGREEMENTS RELATED TO THE ADVISORY BUSINESS.

Name of entity where books and records are kept:

IRON MOUNTAIN

Number and Street 1:

ONE RECALL CENTER

Number and Street 2:

180 TECHNOLOGY PARKWAY

City:

NORCROSS

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30092

If this address is a private residence, check this box:

Telephone Number:

770-776-1000

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

OFFSITE STORAGE FOR CERTAIN FINANCE AND COMPLIANCE BOOKS AND RECORDS

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

100 HARTSFIELD CENTRE PARKWAY

Number and Street 2:

SUITE 650

City:

ATLANTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30354

If this address is a private residence, check this box:

Telephone Number:

404-424-9001

Facsimile number, if any:

470-225-8252

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3900 N. CAUSEWAY BLVD.

Number and Street 2:

SUITE 100

City:

METAIRIE

State:

Louisiana

Country:

United States

ZIP+4/Postal Code:

70002

If this address is a private residence, check this box:

Telephone Number:

(504) 830-7676

Facsimile number, if any:

(504) 836-7055

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8889 PELICAN BAY BLVD

Number and Street 2:

SUITE 401

City:

NAPLES

State:

Florida

Country:

United States

ZIP+4/Postal Code:

34108

If this address is a private residence, check this box:

Telephone Number:

239-920-5831

Facsimile number, if any:

This is (check one):

one of your branch offices or affiliates.

a third-party unaffiliated recordkeeper.

other.

Briefly describe the books and records kept at this location.

POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

1835 E REPUBLIC RD

Number and Street 2:

SUITE 104

City:

SPRINGFIELD

State:

Missouri

Country:

United States

ZIP+4/Postal Code:

65804

If this address is a private residence, check this box:

Telephone Number:

417-889-9997

Facsimile number, if any:

417-889-7550

This is (check one):

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

6500 SHERIDAN DRIVE

Number and Street 2:

SUITE 110

City:

AMHERST

State:

New York

Country:

United States

ZIP+4/Postal Code:

14221

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Telephone Number:

(716) 832-0035

Facsimile number, if any:

(716) 768-5310

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

4865 NORTH WICKHAM ROAD

Number and Street 2:

SUITE 108

City:

MELBOURNE

State:

Florida

Country:

United States

ZIP+4/Postal Code:

32940

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Telephone Number:

(321) 751-6162

Facsimile number, if any:

(321) 751-6169

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

8610 EXPLORER DRIVE

Number and Street 2:

SUITE 120

City:

COLORADO SPRINGS

State:

Colorado

Country:

United States

ZIP+4/Postal Code:

80920

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Telephone Number:

(719) 594-6800

Facsimile number, if any:

(719) 594-6886

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

21515 HAWTHORNE BLVD

Number and Street 2:

SUITE 580

City:

TORRANCE

State:

California

Country:

United States

ZIP+4/Postal Code:

90503

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Telephone Number:

(424) 903-7477

Facsimile number, if any:

(310) 525-3321

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3950 CIVIC CENTER DRIVE

Number and Street 2:

SUITE 315

City:

SAN RAFAEL

State:

California

Country:

United States

ZIP+4/Postal Code:

94903

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Telephone Number:

888-752-6742

Facsimile number, if any:

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POLICIES AND PROCEDURES, DISCLOSURE DOCUMENTS, AND CLIENT RECORDS INCLUDING AGREEMENTS, CLIENT PROFILES, CORRESPONDENCE, AND CERTAIN

LOGS, ETC.

Name of entity where books and records are kept:

SALESFORCE

Number and Street 1:

1 MARKET STREET

Number and Street 2:

SUITE 300

City:

SAN FRANCISCO

State:

California

Country:

United States

ZIP+4/Postal Code:

94105

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Telephone Number:

415-901-7000

Facsimile number, if any:

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CLIENT RECORDS

Name of entity where books and records are kept:

CFM PARTNERS, INC.

Number and Street 1:

1701 RHODE ISLAND AVENUE, NW

Number and Street 2:

City:

WASHINGTON

State:

District of Columbia

Country:

United States

ZIP+4/Postal Code:

20036

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Telephone Number:

202-364-7741

Facsimile number, if any:

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POLICIES AND PROCEDURES

Name of entity where books and records are kept:

REGED

Number and Street 1:

2100 GATEWAY CENTRE BLVD.

Number and Street 2:

SUITE 200

City:

MORRISVILLE

State:

North Carolina

Country:

United States

ZIP+4/Postal Code:

27560

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Telephone Number:

800-334-8322

Facsimile number, if any:

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RECORDS RELATED TO CODE OF ETHICS

Name of entity where books and records are kept:

MYCOMPLIANCEOFFICE

Number and Street 1:

535 FIFTH AVENUE

Number and Street 2:

4TH FLOOR

City:

NEW YORK

State:

New York

Country:

United States

ZIP+4/Postal Code:

10017

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Telephone Number:

866-981-1558

Facsimile number, if any:

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RECORDS RELATED TO CODE OF ETHICS

Name of entity where books and records are kept:

PROOFPOINT, INC.

Number and Street 1:

925 WEST MAUDE AVENUE

Number and Street 2:

City:

SUNNYVALE

State:

California

Country:

United States

ZIP+4/Postal Code:

94085

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Telephone Number:

408-517-4710

Facsimile number, if any:

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ARCHIVAL OF ELECTRONIC COMMUNICATIONS

Name of entity where books and records are kept:

RED OAK COMPLIANCE SOFTWARE

Number and Street 1:

1320 ARROW POINT DRIVE

Number and Street 2:

SUITE 411

City:

CEDAR PARK

State:

Texas

Country:

United States

ZIP+4/Postal Code:

78613

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Telephone Number:

512-721-0421

Facsimile number, if any:

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RECORDS PERTAINING TO ADVERTISING

Name of entity where books and records are kept:

FINANCIAL ENGINES ADVISORS L.L.C.

Number and Street 1:

3460 PRESTON RIDGE RD

Number and Street 2:

SUITE 500

City:

ALPHARETTA

State:

Georgia

Country:

United States

ZIP+4/Postal Code:

30005

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Telephone Number:

(678) 691-8500

Facsimile number, if any:

(678) 691-8501

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