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Asset/Investment Management
FINANCE
williamblair.com

Investments

52

Portfolio Exits

21

Funds

5

Partners & Customers

9

About William Blair & Company

William Blair & Companyis a Chicago-based investment firm offering investment banking, asset management and institutional and private brokerage to clients.

Headquarters Location

222 West Adams Street

Chicago, Illinois, 60606,

United States

312-236-1600

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Expert Collections containing William Blair & Company

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Conference Exhibitors

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Latest William Blair & Company News

SEC Levies $79 Million in Penalties on Brokerage Firms for Recordkeeping Lapses

Nov 21, 2023

Apartfrom the financial penalties, the firms have agreed to cease and desist fromfuture violations, received censures, and committed to implementingimprovements in their compliance policies and procedures. They will also retainindependent compliance consultants to conduct comprehensive reviews of theirpolicies and procedures related to the retention of electronic communicationson personal devices. The Commodity Futures Trading Commission also announcedsettlements with InteractiveBrokers for related conduct. SEC Highlights Broker-DealersFalling Behind in AML Program Revisions In an earlier report, Finance Magnates noted that the SECissued a warning to broker-dealers , urging them to enhance their anti-moneylaundering (AML) policies and procedures, specifically emphasizing duediligence when opening new customer accounts. The regulator highlightedconcerns about inadequate resources, including staff allocation, devoted to AMLcompliance programs by some broker-dealers. The SEC outlined guidelinesfor broker-dealers, stressing the necessity of implementing and maintaining acomprehensive AML program aligned with the Bank Secrecy Act and itsregulations. Additionally, the regulator noted deficiencies in timely testingof AML controls and updates to AML programs among certain broker-dealers. TheSecurities and Exchange Commission (SEC) has announced charges against fivebroker-dealers, three dually registered broker-dealers and investment advisers,and two affiliated investment advisers for widespread and longstanding failuresto maintain and preserve electronic communications. Off-ChannelCommunications Scandal Thefirms, including Interactive Brokers Corp., Robert W. Baird & Co. Inc.,William Blair & Company LLC, Nuveen Securities LLC, Fifth Third SecuritiesInc., and Perella Weinberg Partners LP, have collectively agreed to pay $79million in penalties. TheSEC's investigations revealed pervasive and longstanding off-channelcommunications at all 10 firms. Employees at these firms communicated throughpersonal text messages about their business activities, violating recordkeepingprovisions of the federal securities laws. Thebroker-dealer and investment adviser firms admitted to their employees sendingand receiving off-channel communications related to recommendations and advicebut failed to maintain or preserve the substantial majority of thesecommunications. Keep Reading Apartfrom the financial penalties, the firms have agreed to cease and desist fromfuture violations, received censures, and committed to implementingimprovements in their compliance policies and procedures. They will also retainindependent compliance consultants to conduct comprehensive reviews of theirpolicies and procedures related to the retention of electronic communicationson personal devices. The Commodity Futures Trading Commission also announcedsettlements with InteractiveBrokers for related conduct. SEC Highlights Broker-DealersFalling Behind in AML Program Revisions In an earlier report, Finance Magnates noted that the SECissued a warning to broker-dealers , urging them to enhance their anti-moneylaundering (AML) policies and procedures, specifically emphasizing duediligence when opening new customer accounts. The regulator highlightedconcerns about inadequate resources, including staff allocation, devoted to AMLcompliance programs by some broker-dealers. The SEC outlined guidelinesfor broker-dealers, stressing the necessity of implementing and maintaining acomprehensive AML program aligned with the Bank Secrecy Act and itsregulations. Additionally, the regulator noted deficiencies in timely testingof AML controls and updates to AML programs among certain broker-dealers. ADVERTISEMENT

William Blair & Company Investments

52 Investments

William Blair & Company has made 52 investments. Their latest investment was in Prime Trust as part of their Series B on June 6, 2022.

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William Blair & Company Investments Activity

investments chart

Date

Round

Company

Amount

New?

Co-Investors

Sources

6/22/2022

Series B

Prime Trust

$100M

Yes

3

10/12/2021

Series C

Halo Investing

$100M

No

12

4/19/2019

Series B

Halo Investing

$12M

Yes

6

1/17/2017

Series C

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$99M

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10

1/12/2013

Series A

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$99M

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10

Date

6/22/2022

10/12/2021

4/19/2019

1/17/2017

1/12/2013

Round

Series B

Series C

Series B

Series C

Series A

Company

Prime Trust

Halo Investing

Halo Investing

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Amount

$100M

$100M

$12M

$99M

$99M

New?

Yes

No

Yes

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Co-Investors

Sources

3

12

6

10

10

William Blair & Company Portfolio Exits

21 Portfolio Exits

William Blair & Company has 21 portfolio exits. Their latest portfolio exit was Sagence on November 08, 2022.

Date

Exit

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Acquirer

Sources

11/8/2022

Acquired

$99M

2

8/29/2014

Acq - Fin

$99M

2

2/20/2014

Acquired

$99M

1

6/30/2010

Acquired

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$99M

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10

9/11/2009

Acquired

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$99M

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10

Date

11/8/2022

8/29/2014

2/20/2014

6/30/2010

9/11/2009

Exit

Acquired

Acq - Fin

Acquired

Acquired

Acquired

Companies

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Valuation

$99M

$99M

$99M

$99M

$99M

Acquirer

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Sources

2

2

1

10

10

William Blair & Company Acquisitions

2 Acquisitions

William Blair & Company acquired 2 companies. Their latest acquisition was ICM on February 10, 2021.

Date

Investment Stage

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Total Funding

Note

Sources

2/10/2021

$99M

Acquired

4

9/16/1998

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$99M

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0

Date

2/10/2021

9/16/1998

Investment Stage

Companies

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Valuation

$99M

$99M

Total Funding

Note

Acquired

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Sources

4

0

William Blair & Company Fund History

5 Fund Histories

William Blair & Company has 5 funds, including William Blair Mezzanine Capital Fund III LP.

Closing Date

Fund

Fund Type

Status

Amount

Sources

12/31/1999

William Blair Mezzanine Capital Fund III LP

Mezzanine (Third-Party)

Closed

$311M

1

12/31/1997

William Blair Mezzanine Capital Fund II LP

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$99M

10

12/31/1993

William Blair Mezzanine Capital Fund, L.P.

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$99M

10

William Blair MB Investments

10

MNC FII 2020 SERIES

10

Closing Date

12/31/1999

12/31/1997

12/31/1993

Fund

William Blair Mezzanine Capital Fund III LP

William Blair Mezzanine Capital Fund II LP

William Blair Mezzanine Capital Fund, L.P.

William Blair MB Investments

MNC FII 2020 SERIES

Fund Type

Mezzanine (Third-Party)

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Status

Closed

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Amount

$311M

$99M

$99M

Sources

1

10

10

10

10

William Blair & Company Partners & Customers

9 Partners and customers

William Blair & Company has 9 strategic partners and customers. William Blair & Company recently partnered with BDA Partners on January 1, 2022.

Date

Type

Business Partner

Country

News Snippet

Sources

1/26/2022

Partner

United States

Divested ELEVATE to LRQA. BDA and William Blair advise EQT on sale of ELEVATE to LRQA - BDA Partners

* Includes strategic partnerships with Allier Capital , BDA Partners Ltd. , and Poalim Capital Markets .

1

8/26/2021

Vendor

United States

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10

10/7/2019

Partner

United States

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10

7/17/2019

Partner

Italy

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10

7/17/2019

Partner

United States

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10

Date

1/26/2022

8/26/2021

10/7/2019

7/17/2019

7/17/2019

Type

Partner

Vendor

Partner

Partner

Partner

Business Partner

Country

United States

United States

United States

Italy

United States

News Snippet

Divested ELEVATE to LRQA. BDA and William Blair advise EQT on sale of ELEVATE to LRQA - BDA Partners

* Includes strategic partnerships with Allier Capital , BDA Partners Ltd. , and Poalim Capital Markets .

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Sources

1

10

10

10

10

William Blair & Company Team

5 Team Members

William Blair & Company has 5 team members, including current Managing Director, Rainer Hepberger.

Name

Work History

Title

Status

Rainer Hepberger

Managing Director

Current

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Name

Rainer Hepberger

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Work History

Title

Managing Director

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Status

Current

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