Kaufman, Hall & Associates, LLC has filed an amendment to its municipal advisor registration, reflecting its ongoing efforts to comply with regulatory standards. This filing, dated October 20, 2026, is significant as it underscores the company's commitment to maintaining its standing in the municipal advisory industry.
Founded in Chicago, Kaufman, Hall & Associates, LLC specializes in providing advisory services related to municipal finance. The firm has been active in the industry since its establishment, focusing on helping clients navigate complex financial landscapes.
The recent filing indicates that the amendment is an update to a previous submission, suggesting that Kaufman Hall is proactively managing its compliance obligations. The filing states, "isAmendment: Y," confirming that this is a revised submission.
This update may affect various stakeholders, including clients seeking municipal advisory services and other firms in the industry. By enhancing its compliance measures, Kaufman Hall aims to reinforce trust with its clients and maintain a competitive edge in the municipal advisory sector.
The filing does not specify what actions will follow this amendment, leaving open the possibility for future updates or additional filings as the company continues to navigate its regulatory landscape.
Details of the Filing
The amendment was filed by Sarah Brady Dawkins, who serves as a Senior Vice President at Kaufman, Hall & Associates, LLC. The filing confirms that the firm has been continuously engaged in municipal advisory activities since August 2, 2009, which is the date when the current employment commenced.
Kaufman, Hall & Associates, LLC is not registered with the SEC, as indicated in the filing. This is a critical detail for stakeholders as it highlights the firm's independent status in the municipal advisory space.
The filing also provides a comprehensive overview of the firm's compliance history, noting that there have been no criminal or regulatory violations associated with the firm or its key personnel. This clean record may enhance the firm's reputation and reassure clients regarding its ethical standards and operational integrity.
Contact Information
For further inquiries, the filing lists Ken McManus as the contact person, with a direct phone number of 973-618-9508 and an email address at Kenmcmanus@alternativereg.com. Additionally, notifications can be sent to two other email addresses associated with Kaufman Hall.
The firm’s business address remains 433 W. Van Buren Street, Suite 330, Chicago, IL 60607, which has been consistent since its establishment.
This filing does not include any specific details regarding the nature of the amendments made or the implications for the firm's future operations.