{ "crd_number": 328876, "slug": "kaufman-hall-investment-management-brentwood-tn-328876", "primary_business_name": "KAUFMAN HALL INVESTMENT MANAGEMENT", "legal_name": "KAUFMAN HALL INVESTMENT MANAGEMENT, LLC", "dbas": [], "city": "Brentwood", "state": "TN", "country": "United States", "cbsa_code": "34980", "metro": { "cbsa_code": "34980", "common_name": "Nashville", "msa_name": "Nashville-Davidson--Murfreesboro--Franklin, TN", "path": "/advisors/tn/nashville" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2023-12-01", "years_registered": 2, "period": "2026-10-01", "filing_date": "2026-07-30", "carried_forward": false, "raum_total": 2818196485.0, "raum_discretionary": 2818196485.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 9, "advisory_employees": 7, "client_count_bucket": null, "clients_by_type": { "corporations_other_businesses": { "raum": 2818196485.0, "count": 28 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "DE", "IL", "TN", "TX" ], "websites": [ "https://khim.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/328876", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "BRENTWOOD", "url": "https://advisorcensus.com/firm/kaufman-hall-investment-management-brentwood-tn-328876", "display_name": "Kaufman Hall Investment Management", "summary": "Kaufman Hall Investment Management is an SEC-registered investment advisory firm in Brentwood, TN, registered since 2023, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 30, 2026.", "citation": "AdvisorCensus. Kaufman Hall Investment Management (CRD 328876): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Kaufman Hall Investment Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Kaufman Hall Investment Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is Kaufman Hall Investment Management located?", "a": "Kaufman Hall Investment Management's principal office is in Brentwood, TN, according to its Form ADV; the August 2026 filing also lists 3 other offices (Schedule D, Section 1.F)." }, { "q": "Is Kaufman Hall Investment Management registered with the SEC or a state?", "a": "Kaufman Hall Investment Management is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 328876." }, { "q": "How much does Kaufman Hall Investment Management manage?", "a": "Kaufman Hall Investment Management reports $2,818,196,485 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (100% discretionary)." }, { "q": "How have Kaufman Hall Investment Management's assets and staff changed since 2024?", "a": "In the Form ADV data for Kaufman Hall Investment Management: Regulatory assets under management: $1,264,051,185 in the October 2024 data and $2,818,196,485 in the October 2026 data, up 123%. Total employees: 6 in October 2024 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Kaufman Hall Investment Management serve?", "a": "By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (28)." }, { "q": "Which custodians does Kaufman Hall Investment Management use?", "a": "Kaufman Hall Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BNY Mellon Securities Corporation, Computershare Corporate Trust and U.S. Bancorp Investments, Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Kaufman Hall Investment Management report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/328876" }, { "q": "What changed in Kaufman Hall Investment Management's recent Form ADV filings?", "a": "In the August 2026 filing data: Registered or notice-filed in DE." } ], "filing_history": [ { "period": "2024-10-01", "regulatory_assets_under_management": 1264051185.0, "total_employees": 6, "filing_date": "2024-08-30" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2309298471.0, "total_employees": 9, "filing_date": "2025-03-21" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2818196485.0, "total_employees": 9, "filing_date": "2026-07-30" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Registered or notice-filed in DE." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,309,298,471 to $2,818,196,485 (+22%).", "Changed its office addresses in Crete, IL.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "BNY Mellon Securities Corporation", "name_as_filed": "BNY MELLON SECURITIES CORPORATION", "affiliated": false }, { "name": "Computershare Corporate Trust", "name_as_filed": "COMPUTERSHARE CORPORATE TRUST", "affiliated": false }, { "name": "U.S. Bancorp Investments, Inc.", "name_as_filed": "U.S. BANCORP INVESTMENTS, INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/kaufman-hall-investment-management-brentwood-tn-328876.md", "clients": [ { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 28, "fewer_than_5": false, "raum": 2818196485.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/328876", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }