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Catherine Newell

Executive Vice President, Chief Legal Officer & Secretary at Dimensional Fund Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Catherine Newell is Executive Vice President, Chief Legal Officer & Secretary of Dimensional Fund Advisors LP, a Austin investment adviser managing $1.02T. Catherine Newell has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24 and SIE.

Role at Dimensional Fund Advisors

Title on Schedule A
Executive Vice President, Chief Legal Officer & Secretary
Control
Catherine Newell is not a control person of Dimensional Fund Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Catherine Newell has held the filed role since February 2017.

The firm

Dimensional Fund Advisors LP
Austin, TX

Form ADV filed 24 March 2026

$1.02T AUM2,311 clients367 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7 and Series 24 · 1998

Registrations and exams

Broker registration; no current adviser registration. Catherine Newell has passed 3 qualifying exams.

Examinations

Series 249 October 1998
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 723 July 1998
Name
General Securities Representative Examination

Individual record

Full name
Catherine Lee Newell
CRD
2890628
Firm
Dimensional Fund Advisors LP
Registration status
Broker registration; no current adviser registration
Firm bio
dimensional.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Dimensional identifies Catherine Newell as general counsel and executive vice president. The firm says she previously practiced corporate finance and investment management law at Morrison & Foerster. She earned a JD from UCLA and a BA from Notre Dame. Official firm biography

Common questions

Where does Catherine Newell work?

Catherine Newell has been Executive Vice President, Chief Legal Officer & Secretary of Dimensional Fund Advisors LP since February 2017.

Source: Form ADV, Schedule A, filed 24 March 2026

Does Catherine Newell have a current investment-adviser registration?

Catherine Newell has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Catherine Newell passed?

Catherine Newell has passed 3 licensing exams: the Series 7, Series 24 and SIE. The earliest, the Series 7, was passed in July 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Dimensional Fund Advisors

  • David Butler
    Co-Chief Executive Officer
  • Gerard O'Reilly
    Co-Chief Executive Officer & Co-Chief Investment Officer
  • Bernard Grzelak
    Chief Financial Officer, Treasurer & Vice President
  • Selwyn Notelovitz
    Chief Compliance Officer & Vice President
  • Savina Rizova
    Co-Chief Investment Officer and Vice President
  • David Booth
    Chairman

Sources

  1. IAPD individual record, CRD 2890628. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Dimensional Fund Advisors LP, filed 24 March 2026. Title, control and ownership bands.
  3. Dimensional Fund Advisors team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Catherine Newell or Dimensional Fund Advisors LP and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.