BETTERMENT LLC

https://www.betterment.com NEW YORK, NY Investment Advisor How do I update this listing?

Betterment is based out of New York. Betterment is a large advisory firm with 419543 clients and discretionary assets under management (AUM) of $16,399,032,285 (Form ADV from 2018-09-01). Their last reported 13F filing for Q3 2019 included $17,641,177,000 in managed 13F securities and a top 10 holdings concentration of 80.48%. Betterment's largest holding is Vanguard Total Stock Market ETF with shares held of 24,738,967. Betterment has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 20 13F filings

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67

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09/30/2019

Top Buys

  • Name% Change

09/30/2019

Top Sells

  • Name% Change

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $17.641 Billion
  • Prior Market Value $17.641 Billion
  • New Purchases0 stocks
  • Additional Purchases0 stocks
  • Sold out of0 stocks
  • Reduced holdings in0 stocks
  • Top 10 Holdings % 80.48 %
  • Turnover % [1]:%
  • Turnover Alt % [2]: %
  • Time Held Top20:16.70 quarters
  • Time Held Top10:15.40 quarters
  • Time Held All:11.12 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.1%
Performance Last 4 Quarters: 9.7%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

BETTERMENT
61 WEST 23RD STREET 4TH FLOOR
NEW YORK NY    10010
Country: United States

Business Phone: 212-228-1328
Fax: N/A
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 245
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 16,399,000,000
Total Number of Clients: 419543
Amount of client funds and securities by related persons: 16,399,000,000
Total Number of clients from related persons: 419543
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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BETTERMENT LLC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
BETTERMENT HOLDINGS, INC. MANAGING MEMBER, PARENT ENTITY 04/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PARENT COMPANY direct 2009-04-01
BETTERMENT LLC MANAGING MEMBER, PARENT ENTITY direct 2009-04-01
STEIN, JONATHAN, BABCOCK CHIEF EXECUTIVE OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01
LUCIEN, DUSTIN, MATHIAS CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF OPERATIONS OFFICER direct 2016-05-01
ALDEN, BENJAMIN, TODD GENERAL COUNSEL 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2017-03-01
LORIMER, PETER, BRAILLER VP, FINANCE 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC VP, FINANCE direct 2018-10-01
Chehardy, Kimberly, Noel CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER direct 2019-05-01
STEIN, JONATHAN, BABCOCK SHAREHOLDER BETTERMENT HOLDINGS, INC. 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01

BETTERMENT LLC

ownership team - last updated 2019-05-23
Name Title Start Date Direct/Indirect % Ownership
BETTERMENT HOLDINGS, INC. MANAGING MEMBER, PARENT ENTITY 04/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PARENT COMPANY direct 2009-04-01
BETTERMENT LLC MANAGING MEMBER, PARENT ENTITY direct 2009-04-01
STEIN, JONATHAN, BABCOCK CHIEF EXECUTIVE OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01
LUCIEN, DUSTIN, MATHIAS CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF OPERATIONS OFFICER direct 2016-05-01
ALDEN, BENJAMIN, TODD GENERAL COUNSEL 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2017-03-01
LORIMER, PETER, BRAILLER VP, FINANCE 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC VP, FINANCE direct 2018-10-01
Chehardy, Kimberly, Noel CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER direct 2019-05-01
STEIN, JONATHAN, BABCOCK SHAREHOLDER BETTERMENT HOLDINGS, INC. 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01

BETTERMENT LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BETTERMENT HOLDINGS, INC. MANAGING MEMBER, PARENT ENTITY 04/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PARENT COMPANY direct 2009-04-01
BETTERMENT LLC MANAGING MEMBER, PARENT ENTITY direct 2009-04-01
STEIN, JONATHAN, BABCOCK CHIEF EXECUTIVE OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01
LUCIEN, DUSTIN, MATHIAS CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF OPERATIONS OFFICER direct 2016-05-01
ALDEN, BENJAMIN, TODD GENERAL COUNSEL 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2017-03-01
ROSENBLOOM, SETH, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER direct 2018-10-01
LORIMER, PETER, BRAILLER VP, FINANCE 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC VP, FINANCE direct 2018-10-01
BENKE, ALEX, CLAYTON PRESIDENT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PRESIDENT direct 2018-01-01
STEIN, JONATHAN, BABCOCK SHAREHOLDER BETTERMENT HOLDINGS, INC. 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01

BETTERMENT LLC

ownership team - last updated 2018-12-03
Name Title Start Date Direct/Indirect % Ownership
BETTERMENT HOLDINGS, INC. MANAGING MEMBER, PARENT ENTITY 04/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PARENT COMPANY direct 2009-04-01
BETTERMENT LLC MANAGING MEMBER, PARENT ENTITY direct 2009-04-01
STEIN, JONATHAN, BABCOCK CHIEF EXECUTIVE OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01
LUCIEN, DUSTIN, MATHIAS CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF OPERATIONS OFFICER direct 2016-05-01
ALDEN, BENJAMIN, TODD GENERAL COUNSEL 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2017-03-01
WALSH, PAUL, ROBERT CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TDAM USA INC. CHIEF COMPLIANCE OFFICER direct 2015-10-01
TD PRIVATE CLIENT WEALTH LLC CCO direct 2015-10-01
STEIN, JONATHAN, BABCOCK SHAREHOLDER BETTERMENT HOLDINGS, INC. 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01

BETTERMENT LLC

ownership team - last updated 2018-06-04
Name Title Start Date Direct/Indirect % Ownership
BETTERMENT HOLDINGS, INC. MANAGING MEMBER, PARENT ENTITY 04/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
BETTERMENT LLC PARENT COMPANY direct 2009-04-01
BETTERMENT LLC MANAGING MEMBER, PARENT ENTITY direct 2009-04-01
STEIN, JONATHAN, BABCOCK CHIEF EXECUTIVE OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01
LUCIEN, DUSTIN, MATHIAS CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF OPERATIONS OFFICER direct 2016-05-01
ALDEN, BENJAMIN, TODD GENERAL COUNSEL 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2017-03-01
WALSH, PAUL, ROBERT CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TDAM USA INC. CHIEF COMPLIANCE OFFICER direct 2015-10-01
TD PRIVATE CLIENT WEALTH LLC CCO direct 2015-10-01
STEIN, JONATHAN, BABCOCK SHAREHOLDER BETTERMENT HOLDINGS, INC. 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BETTERMENT LLC (NEW LEGAL NAME) SHAREHOLDER indirect 2008-08-01
BETTERMENT LLC CHIEF EXECUTIVE OFFICER direct 2008-08-01
BETTERMENT LLC ELECTED MANAGER indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CEO indirect 2008-08-01
BETTERMENT LLC (NEW LEGAL NAME) CHIEF EXECUTIVE OFFICER, MANAGING MEMBER direct 2008-08-01

WhaleScore history for BETTERMENT LLC

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