{"url":"https://nivawealth.com/firms/bny-mellon-etf-investment-adviser-306148","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306148","regulatoryAum":11095609290,"crd":"306148","secFileNumber":"801-117653","legalName":"BNY Mellon ETF Investment Adviser, LLC","displayName":"BNY Mellon ETF Investment Adviser","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"201 Washington Street","city":"Boston","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02108"},"tradeNames":[],"registration":{"secApproved":"15 November 2019","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":3,"advisory":2,"brokerDealerReps":2,"insuranceAgents":0,"promoters":2},"aum":{"discretionary":11095609290,"discretionaryAccounts":13,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":13,"regulatoryAum":11095609290}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"BNY Mellon ETF Investment Adviser has custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Dipetrillo","title":"Chief Executive Officer & Manager","crd":"4904926"},{"name":"Lisa Zeller","title":"Chief Compliance Officer","crd":"6377247"},{"name":"Kimberly Mackenzie-Perman","title":"Manager","crd":"4576869"},{"name":"Stephanie Pierce","title":"Manager","crd":"2526452"},{"name":"Jason Ronca","title":"Manager","crd":"4419458"}],"ownership":[{"label":"MBC Investments Corporation","detail":"Shareholder in the 75% or more ownership band and a control person, since October 2019."},{"label":"BNY Mellon Ihc, LLC","detail":"Indirect owner: a shareholder of MBC Investments Corporation in the 75% or more band and a control person, since October 2019.","parent":"MBC Investments Corporation"},{"label":"The Bank of New York Mellon Corporation","detail":"Indirect owner: a shareholder of BNY Mellon Ihc, LLC in the 75% or more band and a control person, since April 2017.","parent":"BNY Mellon Ihc, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"201 Washington Street","city":"Boston","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"240 Greenwich Street","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-635-6980","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":"0","assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"17 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306148/PDF/306148.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does BNY Mellon ETF Investment Adviser have?","answer":"BNY Mellon ETF Investment Adviser has 13 clients and manages $11.1 billion for them, as of July 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does BNY Mellon ETF Investment Adviser offer?","answer":"BNY Mellon ETF Investment Adviser provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does BNY Mellon ETF Investment Adviser have?","answer":"BNY Mellon ETF Investment Adviser has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 2 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns BNY Mellon ETF Investment Adviser?","answer":"BNY Mellon ETF Investment Adviser is owned through a chain of holding companies by the Bank of New York Mellon Corporation. Its direct owner is MBC Investments Corporation (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does BNY Mellon ETF Investment Adviser get paid?","answer":"BNY Mellon ETF Investment Adviser is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}