Disclaimer

Eventide Asset Management, LLC (“Eventide”) has developed the “Find an Investment Adviser” directory (the “Directory”) as a tool to help individuals identify investment adviser representatives (“IARs”) to consider based on their own investment needs and preferences. The Directory is not a recommendation or endorsement of any IAR listed. Eventide does not provide investment advice or recommendations to buy or sell securities in connection with the Directory. The Directory is intended to help individuals find IARs who, based on the inclusion criteria listed below, appear to be familiar with Eventide’s strategies, values-based investing principles, and related products.

It is important to understand that you have no obligation to contact or retain the services of any IAR you identify through the Directory, and the Directory is not the only place you can search for IARs. Eventide’s strategies, values-based investing principles, and products are also available directly or through IARs that are not listed in the Directory. Regardless of what method you use to find an IAR to assist you, you should interview and evaluate each IAR and the entities with which they are affiliated, such as broker-dealers and/or investment advisers. Your review should ensure that the IAR, and the services they can provide, are right for you. IARs and/or their affiliated entities may have specific account requirements, including investment minimums and other restrictions. An IAR’s inclusion in the Directory does not mean they can offer you services that will be suitable or appropriate for your investment needs and preferences. Investing includes the risk of losing your money.

Resources that can help you evaluate IARs and their financial firms include, but are not limited to: https://www.investor.gov; https://adviserinfo.sec.gov; and https://brokercheck.finra.org.

The IARs listed in the Directory are not affiliated with or agents of Eventide. Such IARs vary in the extent to which they include Eventide investment products or other values-based investments in the services they offer.

To be listed in the Directory, each IAR will (i) have certified to Eventide that they meet the criteria below, and (ii) be obligated to update Eventide if and when they no longer meet any of the below criteria. You should not expect that Eventide has independently verified such certifications from IARs or that an IAR has satisfied the Directory criteria at any time.

Each IAR certifies that they:

  • Are actively registered at the state level as an investment adviser representative
  • Have experience with values-based portfolio illustrations via Eventide’s Investment Consulting Group (“ICG”)
  • Have obtained an ICG portfolio illustration example within the last 36 months
  • Have indicated whether or not they apply faith-based considerations in providing investment advice
  • Manage investments for at least 5 clients using values-based solutions holistically (i.e., seeking to apply the clients’ values to construct a full portfolio)
  • Have attended an Eventide Due Diligence Event or a Discover Eventide event within the last 36 months
  • Are able to access at least two (2) Eventide investment products as investment options for their clients if appropriate
  • Have reviewed their firm’s procedures and rules, and they are authorized to appear in the Directory
  • Have not been subject to the following:
    • subject to an SEC order issued under section 203(f) of the Investment Advisers Act of 1940 (the “Act”), or
    • convicted within the previous ten years of any felony or misdemeanor involving conduct described in section 203(e)(2)(A) through (D) of the Act, or
    • a person who has been found by the SEC to have engaged, or has been convicted of engaging, in any of the conduct specified in paragraphs (1), (5) or (6) of section 203(e) of the Act, or
    • subject to an order, judgment, or decree described in section 203(e)(4) of the Act

Eventide may, in its sole discretion, apply other criteria and modify the criteria in whole or in part at any time, and Eventide reserves the right to remove the listing of an IAR for any reason. While Eventide has reviewed participating IARs based on their certifications made to meet Directory criteria, as noted above, you should not expect that Eventide has made an independent evaluation of any product, status, strategy, or service, including financial planning or wealth planning services, claimed or offered by any IAR.

The Directory is intended to identify potential IARs for your consideration and due diligence. The decision as to which IAR (and associated firm), if any, to hire is yours. If you decide to hire an IAR, it is your responsibility to work with your IAR to determine if the services offered are appropriate for your needs.

It is also your responsibility to monitor your selected IAR and her or his firm, including the IAR’s management of your investments, fees, and the IAR’s performance. Eventide will not have any knowledge of IARs selected by investors through the Directory, Eventide will play no role in monitoring or evaluating any advisory services that you receive from any IAR or their firm, and Eventide has no obligation to update you regarding any IAR, including whether such IAR continues to be included in the Directory. All questions about your investment strategy, portfolio performance, and the IAR’s activities should be directed to your selected IAR and/or their firm. Any complaints regarding the services provided by an IAR should be directed to that IAR and their firm – and not to Eventide.

Because, as noted above, the Directory’s inclusion criteria focus on an indication of familiarity with Eventide’s strategies, values-based investing principles, and products, an IAR’s inclusion (and continued participation) in the Directory can present conflicts of interest to an IAR, including that they might have an incentive to offer Eventide’s strategies, values-based investing principles, and products as a means of being included in the Directory and without regard to their views or skills in applying Eventide’s strategies, values-based investing principles, and products. Similarly, the criteria’s focus on measures of familiarity with Eventide’s strategies, values-based investing principles, and products presents a conflict for Eventide because the criteria serve Eventide’s financial self-interest in promoting the offering of Eventide’s strategies, values-based investing principles, and products from which Eventide receives compensation. Certain IARs are eligible to receive additional compensation in connection with the purchase of Eventide’s products and services, including receiving revenue-sharing payments paid by Eventide. When interviewing prospective IARs, you should ask them about their compensation arrangements and consider these and other conflicts when evaluating whether to use this Directory listing and discuss this with any IAR you may be considering.

The Directory has been updated as of November 23, 2022.

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