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Important Disclosure Information

Halbert Hargrove Global Advisors, LLC (“HH”) is an SEC registered investment adviser with its principal place of business in Long Beach, California.

HH may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. HH’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of HH’s web site on the Internet should not be construed by any consumer and/or prospective client as HH’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by HH with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. A copy of HH’s current written disclosure Brochure and Form CRS discussing HH’s business operations, services, and fees is available on this web site and/or from HH upon written request. HH does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to HH’s web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by HH), will be profitable or equal any historical performance level(s). Neither HH’s investment adviser registration status, nor any amount of prior experience or success, should be construed that a certain level of results or satisfaction will be achieved if HH is engaged, or continues to be engaged, to provide investment advisory services. HH registration status does not imply a specific level of skill or training.

Certain portions of HH’s web site (i.e., newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, HH (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from HH, or from any other investment professional. HH is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

Please Note: Limitations. Neither rankings nor recognitions by unaffiliated rating services, publications, media, or other organizations,  nor the achievement of any professional designation, certification, degree, or license, membership in any professional organization, or any amount of prior experience or success, should be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if HH is engaged, or continues to be engaged, to provide investment advisory services.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to HH’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from HH, or from any other investment professional.

Each client and prospective client agrees as a condition precedent to his/her/its access to HH’s web site, to release and hold harmless HH, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from HH.

Testimonials: Please Note: Limitations. No compensation has been paid or offered by HH for testimonials, unless otherwise specifically noted. Positive comments should not be construed as an endorsement of HH by any of its past or current clients, nor any assurance that HH may be able to help any client achieve the same satisfactory results. To the contrary, there can be no assurance that a client or prospective client will experience a certain level of results or satisfaction if HH is engaged, or continues to be engaged, to provide investment advisory services.

The following are the full name descriptions of the funds listed in our Quarterly Reports:

All Asset Institutional refers to the PIMCO All Asset, Institutional Class
Alternative Lending Risk Premium refers to the Stone Ridge Alternative Lending Risk Premium
AQR Diversifying Strategies I refers to the AQR Diversifying Strategies Fund Institutional Class
ARK Fintech Innovation ETF refers to ARK Fintech Innovation ETF
BlackRock 20/80 Target Allocation Fund refers to the BlackRock 20/80 Target Allocation Fund with the respective fund class.
BlackRock 40/60 Target Allocation Fund refers to the BlackRock 40/60 Target Allocation Fund with the respective fund class.
BlackRock 60/40 Target Allocation Fund refers to the BlackRock 60/40 Target Allocation Fund with the respective fund class.
BlackRock 80/20 Target Allocation Fund refers to the BlackRock 80/20 Target Allocation Fund with the respective fund class.
BlackRock Advantage Large Cap Core Instl refers to BlackRock Advantage Large Cap Core Fund, Institutional class
BlackRock Emerging Mkts Instl refers to the BlackRock Emerging Markets Fund Institutional Class
BlackSwan Growth & Treasury Core ETF refers to Amplify BlackSwan Growth & Treasury Core ETF
Clearbridge Lg Cap Value refers to ClearBridge Large Cap Value I
Core MSCI EAFE ETF refers to iShares Core MSCI EAFE ETF
Core MSCI Emerging Mkts ETF refers to iShares Core MSCI Emerging Markets ETF
Core MSCI Intl Dev Mkts ETF refers to iShares Core MSCI International Developed Markets ETF
Core U.S. Aggregate Bond ETF refers to the iShares Core U.S. Aggregate Bond ETF
Core U.S. Large Cap ETF refers to iShares Core S&P 500 ETF
Core U.S. REIT ETF refers to the iShares Core U.S. REIT ETF
Emerging Markets refers to the Russell Emerging Markets, Class S
Enhanced Short Maturity Fund ETF refers to PIMCO Enhanced Short Mat Str Fund ETF
Equity Income Fund refers to the Russell Investments Equity Income Fund with the respective fund class
Flexible Real Estate Income Interval Fund refers to the PIMCO Flexible Real Estate Income Fund
Franklin Genomic Advancements ETF refers to the Franklin Genomic Advancements ETF
Global Equity refers to the Russell Global Equity, Class S
Global Infrastructure refers to the Russell Global Infrastructure with the respective fund class.
Global Opportunistic Credit refers to the Russell Global Opportunistic Credit with the respective fund class
Global Real Estate Securities refers to the Russell Global Real Estate Securities with the respective fund class
Global X Cloud Computing ETF refers to Global X Cloud Computing ETF
Global X Cybersecurity ETF refers to the Global X Cybersecurity ETF
Global X FinTech ETF refers to the Global X Fintech ETF
Global X Genomics & Biotechnology ETF refers to the Global X Genomics & Biotechnology ETF
Global X Video Games & eSports ETF refers to the Global X Games & Esports ETF
Intermediate Municipal Bond ETF refers to PIMCO Intermediate Municipal Bond Active ETF
Hamilton Lane Private Assets I refers to Hamilton Lane Private Assets Fund Class I
High Yield Reinsurance Risk Premium refers to Stone Ridge High Yield Reinsurance Risk Premium
International Developed Markets refers to the Russell International Developed Markets with the respective fund class
International Developed Real Estate ETF refers to iShares International Developed Real Estate ETF
International Small Cap Instl refers to Acuitas International Small Cap, Institutional Class
Invesco MSCI Sustainable Future ETF refers to Invesco MSCI Sustainable Future ETF
Invesco QQQ refers to Invesco QQQ ETF
Invesco Solar ETF refers to Invesco Solar ETF
Investment Grade Bond S refers to Russell Investment Grade Bond Fund Class S
iShares Barclays 7-10 Yr Treasury Bond Fd refers to iShares 7-10 Year Treasury Bond ETF
iShares Core Aggressive Allocation ETF refers to iShares Core Aggressive Allocation ETF
iShares Core Conservative Allocation ETF refers to iShares Core Conservative Allocation ETF
iShares Core Growth Allocation ETF refers to iShares Core Growth Allocation ETF
iShares Core Moderate Allocation ETF refers to iShares Core Moderate Allocation ETF
iShares MSCI EAFE International Index Cl Instl refers to iShares MSCI EAFE International Index Fund Institutional Class
iShares Edge MSCI Multifactor Emerging Markets ETF refers to iShares Edge MSCI Multifactor EmMkts ETF
iShares Edge MSCI Multifactor International ETF refers to iShares Edge MSCI Multifactor Intl ETF
iShares Edge MSCI Multifactor USA ETF refers to iShares Edge MSCI Multifactor USA ETF
iShares Emerging Market Divid Index refers to iShares Emerging Market Dividend ETF
iShares ESG Advanced MSCI EAFE ETF refers to iShares ESG Advanced MSCI EAFE ETF
iShares ESG Advanced MSCI USA ETF refers to iShares ESG Advanced MSCI USA ETF
iShares ESG MSCI USA Small-Cap ETF refers to iShares ESG MSCI USA Small-Cap ETF
iShares Global Green Bond ETF refers to iShares Global Green Bond ETF
iShares MSCI EAFE International Index Cl Instl refers to iShares MSCI EAFE International Index Fund Institutional Class
iShares Russell 1000 Large-Cap Index Instl refers to iShares Russell 1000 Large-Cap Index Fund Institutional Class
iShares Russell 2000 Small-Cap Index Instl refers to iShares Russell 2000 Small-Cap Index Fund Institutional Class
iShares U.S. Aggregate Bond Index K refers to iShares U.S. Aggregate Bond Index Fund, Class K
JPMorgan Global Bond Opportunities ETF refers to JPMorgan Global Bond Opportunities ETF
JPMorgan Income ETF refers to JPMorgan Income ETF
Mirova Green Bond Fund refers to Natixis Mirova Global Green Bond Fund, Class Y
Moving Daily Average – Intl Developed Markets refers to iShares Short Treasury Bond ETF
Moving Daily Average – Large Cap U.S. refers to SPDR Barclays 1-3 Month T-Bill ETF
MSCI ACWI Index refers to iShares MSCI ACWI Index ETF
MSCI EAFE ESG Optimized ETF refers to iShares MSCI EAFE ESG Optimized ETF
MSCI EAFE Index ETF refers to the iShares MSCI EAFE Index ETF
MSCI EAFE Small Cap ETF Index refers to the iShares MSCI EAFE Small Cap Index ETF
MSCI EAFE Strategic Factors ETF refers to SPDR MSCI EAFE StrategicFactors ETF
MSCI Emerging Markets ESG ETF refers to iShares MSCI Emerging Markets ESG ETF
MSCI Emerging Markets Index ETF refers to the iShares MSCI Emerging Markets Index ETF
MSCI Global Impact ETF refers to iShares MSCI Global Impact ETF
MSCI USA ESG Optimized ETF refers to iShares MSCI USA ESG Optimized ETF
Multifactor International Equity S refers to Russell Investments Multifactor International Equity Fund Class S
Multifactor International Equity Y refers to Russell Investments Multifactor International Equity Fund – Class Y
Multifactor U.S. Equity S refers to Russell Investments Multifactor U.S. Equity Fund Class S
Multifactor U.S. Equity Y refers to Russell Investments Multifactor U.S. Equity Fund – Class Y
National Muni Bond ETF refers to the iShares National Muni Bond ETF
PIMCO Enhanced Low Duration Active ETF refers to PIMCO Enhanced Low Duration Active Exchange-Traded Fund
Pimco Flexible Credit Inc Fd Instl refers to PIMCO Flexible Credit Income Fund Institutional Class
PIMCO Income Institutional Fund refers to PIMCO Income Fund Institutional Class
PIMCO Low Duration Income Fund refers to PIMCO Low Duration Income Fund
PIMCO Mortgage Opportunities and Bond Fund Institutional refers to PIMCO Mortgage Opportunities and Bond Fund Institutional Class
PIMCO Multisector Active Bond ETF refers to PIMCO Multisector Active Bond ETF
Private Core Real Estate Interval Fund refers to USQ Core Real Estate, Class I
Reinsurance Risk Premium Interval refers to Stone Ridge Reinsurance Risk Premium Interval
Russell 1000 Index ETF refers to the iShares Russell 1000 Index ETF
Russell 2000 Index ETF refers to the iShares Russell 2000 ETF
Russell 3000 refers to the iShares Russell 3000 ETF
Russell Micro Cap Index ETF refers to iShares Micro-Cap ETF
S&P 500 BuyWrite Portfolio refers to Invesco S&P 500 BuyWrite ETF
S&P 500 Index ETF refers to SPDR S&P 500 ETF
Short Duration Bond refers to the Russell Short Duration Bond, Class S
Strategic Bond refers to the Russell Strategic Bond with the respective fund class.
Sustainable Equity Fund refers to the Russell Investments Sustainable Equity with the respective fund class
Tax Exempt Bond refers to the Russell Tax Exempt Bond, Class S
USD Corporate Bond ESG ETF refers to iShares ESG USD Corporate Bond ETF
U.S. Microcap Instl refers to Acuitas U.S. Microcap, Institutional Class
U.S. Small Cap Equity refers to the Russell U.S. Small Cap Equity with the respective fund class
U.S. Small Cap ESG Fund refers to Calvert Small-Cap Fund, Class I
U.S. Strategic Equity refers to the Russell U.S. Strategic Equity, Class S
Vanguard 500 Index Fund refers to Vanguard S&P 500 ETF
Vanguard ESG International Stock ETF refers to Vanguard ESG International Stock ETF
Vanguard ESG US Stock ETF refers to Vanguard ESG U.S. Stock ETF
Vanguard Global ex-U.S. Real Estate ETF refers to Vanguard Global ex-U.S. Real Estate ETF
Vanguard High Dividend Yield Index Adm refers to Vanguard High Dividend Yield Index Fund Admiral shares
Vanguard Large-Cap ETF refers to Vanguard Large-Cap ETF
Vanguard LifeStrategy Conservative Growth Fund refers to Vanguard LifeStrategy Conservative Growth Fund Investor Shares
Vanguard LifeStrategy Growth Inv refers to Vanguard LifeStrategy Growth Fund Investor Shares
Vanguard LifeStrategy Income Fund refers to Vanguard LifeStrategy Income Fund Investor Shares
Vanguard LifeStrategy Moderate Growth Inv refers to Vanguard LifeStrategy Moderate Growth Fund Investor Shares
Vanguard MSCI Emerging Markets ETF refers to Vanguard FTSE Emerging Markets ETF
Vanguard REIT ETF refers to Vanguard Real Estate ETF
Vanguard Russell 1000 ETF refers to Vanguard Russell 1000 ETF
Vanguard Russell 2000 ETF refers to Vanguard Russell 2000 ETF
Vanguard Tax-Managed Intl Fd MSCI EAFE refers to Vanguard FTSE Developed Markets ETF
Vanguard Total Stock Mkt Idx Adm refers to Vanguard Total Stock Market Index Fund Admiral Shares
Vanguard Ultra-Short Bond ETF refers to Vanguard Ultra-Short Bond ETF
Van Eck Video Gaming and eSports ETF refers to Van Eck Video Gaming and eSports ETF
WisdomTree Artificial Intelligence and Innovation ETF refers to WisdomTree Artificial Intelligence and Innovation Fund ETF
WisdomTree Cloud Computing ETF refers to WisdomTree Cloud Computing Fund
WisdomTree Cybersecurity ETF refers to WisdomTree Cybersecurity Fund
WisdomTree Emerging Markets Efficient Core Fund refers to WisdomTree Emerging Markets Efficient Core Fund
WisdomTree International Efficient Core Fund ETF refers to WisdomTree International Efficient Core Fund
WisdomTree International Equity Fund (ETF) refers to WisdomTree International Equity Fund
WisdomTree SmallCap Dividend Fund ETF refers to WisdomTree SmallCap Dividend Fund
WisdomTree U.S. Efficient Core Fund refers to WisdomTree U.S. Efficient Core Fund
WisdomTree U.S. Quality Growth ETF refers to WisdomTree U.S. Quality Growth Fund

Provided below are the current prospectuses of interval funds Halbert Hargrove may deploy. This section was last updated 1/3/2025 and may not be reflective of the most recent prospectus.

Provided below is the current prospectus of the Hamilton Lane Private Assets fund. The section was last updated 10/9/2024 and may not be reflective of the most recent prospectus.

HLPAF Hamilton Lane Private Assets Fund

Provided below are the current prospectuses of thematic trends Halbert Hargrove may deploy. This section was last updated 1/3/2025 and may not be reflective of the most recent prospectus.

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