Corporations and Businesses

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Copyright © 2015 William Blair & Company, L.L.C. "William Blair" and "R*Docs" are registered trademarks of William Blair & Company, L.L.C.

• Statement of Financial Condition

  The Annual and Semi-annual Consolidated Statements of Financial Condition of William Blair & Company, L.L.C., and its wholly owned subsidiary, William Blair International, Limited (collectively the "Company") are available below (as PDFs).

  06/30/14: Semi-annual Statement
  12/31/13: Annual Statement
  06/30/13: Semi-annual Statement
  12/31/12: Annual Statement
  06/30/12: Semi-annual Statement
  12/31/11: Annual Statement
   

  Clients may also request a printed copy of the statements by calling 1-800-621-0687 ext.5001.

• | NMS Rule 605 & 606

  Disclosure of SEC-Required Order Execution Information and Routing Information

  For the convenience of our clients, below we provide links to order execution data and routing information as required by the Securities and Exchange Commission rules and regulations.

  NMS Rule 605 - Order Execution Information
  William Blair & Company presents this order execution information pursuant to NMS Rule 605. Access our William Blair Rule 605 Data files.

  The data that you will find by following the link above will provide you with an indication of the type of execution you will receive for stocks in which William Blair is a market maker. However, please be aware that the majority of the order flow executed by William Blair & Company is not covered by NMS Rule 605 due to special handling requests by customers. The execution results from this order flow will not appear in the data and may differ substantially from the results.

  NMS Rule 606 - Order Routing Information
  William Blair & Company presents this order routing information pursuant to NMS Rule 606. View William Blair Rule 606 Data (PDF).

  William Blair takes into consideration many factors when determining where to route customers' orders. These include opportunities for price improvement, speed of execution, market depth and order size, cost of execution and the reputation of a particular venue. William Blair actively monitors the execution quality provided by the different market makers and exchanges, and routes orders to venues that have provided consistent, high-quality executions over time.

• | Allocation Procedures for Partial Redemptions or Calls of Securities

  Allocation Procedures for Partial Redemptions or Calls of Securities

  To the extent William Blair & Company, L.L.C. ("William Blair") holds on behalf of any customer account securities which, by their terms, may be called or redeemed prior to maturity ("callable securities") and a partial call or redemption involving such securities occurs, the following procedures will be followed. William Blair will administer the partial call or redemption via an impartial lottery system by which it will allocate among its customers the securities to be selected as called or redeemed. In the event the call or redemption is deemed to be on terms favorable to the applicable holder, as determined by William Blair, William Blair shall not allocate the securities to any account in which it or its associated persons have an interest until all other customers' positions in such securities have been satisfied. In the event the call or redemption is deemed to be on terms unfavorable to the applicable holder, as determined by William Blair, the accounts of customers and associated persons will participate in the impartial lottery on equal terms. Additional details concerning the lottery process are available upon request.

• | FINRA Broker Check

  In accordance with the Financial Industry Regulatory Authority conduct rule pertaining to investor education and protection, we are providing our clients with the following information:

  - The FINRA Broker Check Hotline telephone number is 800-289-9999.
  - The FINRA website address is finra.org.

  For a copy of a brochure that includes important information concerning FINRA Broker Check, call the FINRA Broker Check Hotline or visit the FINRA website at finra.org.

• | Business Continuity Plan

  FINRA Rule 4370 requires that members and member firms establish and maintain business continuity and contingency plans relating to an emergency or significant business disruption.

  Click to view William Blair & Company's Business Continuity Plan Summary (PDF).

• | UK Disclosures

  Company Information

  William Blair International Limited The Broadgate Tower 20 Primrose Street 17th Floor London EC2A 2EW Registered in England & Wales: Company Registration Number 03619027 Vat Number 731317071

  Investment Management Branch 40 Bruton Street London W1J 6QZ

  
  

  Regulator

  William Blair International Limited is Authorised and Regulated by the Financial Conduct Authority (FCA)

  MiFID Disclosures

  • Execution Policy (PDF)
  • Conflicts Policy (PDF)

  
  

  Execution Venues

  New York Stock Exchange
  NASDAQ

  UK Stewardship Code (PDF)

  Remuneration Code Disclosures 2012 (PDF)

  Pillar 3 Disclosure (PDF)

• | Cookie Policy

  Privacy and Cookies

  At William Blair, your privacy is important and we want to be clear about the information we may collect when you visit our website. This policy explains how we use cookies and may be amended, from time to time, without notice. Please read the information below about our cookie use.  By using this site you agree to the placement of cookies on your computer in accordance with the terms of this policy.  If you would like to modify your browser to notify you when you receive a new cookie or to disable cookies, please refer to Managing Cookies below. Additional resources, and our full Privacy and Security Policy may also be found below.

  What are cookies? Cookies are text files containing small amounts of information that are downloaded to your device when you visit a website. When you return to the website or visit another website that recognizes the same cookies, the cookies allow the website to recognize your device.  Cookies can serve many purposes (helping us to understand how visitors use the website, letting you navigate between pages efficiently, remembering your preferences, and generally improving your user experience).  Cookies also can help ensure that we provide information to you that is relevant or that you have requested.

  You also can learn more about cookies at www.allaboutcookies.org.

  Our use of cookies

  Essential cookies
  Some cookies are essential for us to provide you with the services you have requested, such as accessing secure areas. These cookies manage the delivery of any web services requested by you and if you do not accept these cookies you will not receive the services that you have requested or potentially be able to view the webpage. These cookies do not gather information about you that could be used for marketing purposes or remembering where you have been on the internet.

  Remembering your selections cookies
  Cookies are also used to remember your selections that change the way our website behaves or looks, e.g., the font sizes or layout you have chosen, etc. These types of cookies can also be used to deliver a specific function requested by you. Please note that if you delete these cookies, we will not be able to remember your preferences or your login details or provide you with the content you have requested. These cookies do not gather information about you that could be used for marketing purposes or remembering where you have been on the internet. If you no longer wish for us to remember your selections, you should delete cookies on your machine.

  Analytics cookies
  There are also certain unique cookies and/or third-party cookies that we may use for analytics purposes to enhance the performance of our website. These cookies may be used for testing different designs and ensuring a consistent look and feel is maintained for users of our website.  They also may track and provide trend analysis on how our users interact with our website, or help us to track errors. The data collected will generally be aggregated to provide trends and usage patterns for business analysis, site/platform improvement and performance metrics. The type of information we collect includes how many visitors visit our website, when they visited, for how long and which areas of our website are visited and which services are used. This information allows us to continuously improve our services. While this analysis may be performed by third parties, only William Blair will review the analytics. Your use of our website indicates your consent to the use of these web analytics cookies. One of these third party analytic tools used is a web analytics service provided by Google. Google Analytics uses cookies  to help analyze how visitors use the William Blair & Company website.

  For further details on Google analytics cookies, visit cookies set by Google Analytics.

  Targeting cookies
  William Blair may utilize a select set of cookies provided by third parties, such as Like and Share buttons.  These cookies store non-personally identifiable information, but may store information that is available to third-party advertisers, publishers, or ad networks. Please review information about these cookies and how to opt out here.

  Managing cookies
  Most browsers are initially set to accept cookies. However, you have the ability to disable cookies if you wish, generally through changing your internet software browsing settings. It may also be possible to configure your browser settings to enable acceptance of specific cookies or to notify you each time a new cookie is about to be stored on your computer permitting you to decide whether to accept or reject the cookie. To manage your use of cookies, there are various resources available to you.  For example the “Help” section on your browser may assist you. As our cookies allow you to access some of our website’s essential features, we recommend that you leave cookies enabled. Disabling cookies may mean that you experience reduced functionality or will be prevented from using our site altogether. Our website will respect the cookie preferences set in your browser settings.  However cookies set prior to any change to your settings will still be on your computer. You can remove them using your browser settings as well.

  Additional Resources

  http://www.allaboutcookies.org

  http://www.international-chamber.co.uk; The ICC’s document: ICC UK Cookie Guide (PDF)

  http://ico.gov.uk; The ICO’s document: Guidance on the rules on use of cookies and similar technologies (PDF)

  William Blair & Company Privacy and Security Policy

• | Privacy & Security

  Privacy and Security

  Terms of use
  The following is a legal agreement between William Blair, ("we," "us," or "our") and "you," the user of William Blair.
  
  By accessing, browsing and/or using the William Blair website, you acknowledge that you have read, understand and agree to be bound to these terms of use ("Terms") and to comply with all applicable laws and regulations. This agreement contains warranty disclaimer and other provision that limit our liability to you. Please read this agreement in its entirety. If you do not agree to these Terms, do not use William Blair website.
  
  Your use of the William Blair website
  A valid log in ID and password are required for you to use or access portions of the William Blair website.  In order to help protect the confidentiality and security of your information or data, you must use your password each time you access your account. You are solely responsible for maintaining the confidentiality of your password and for any use or misuse of our site by anyone using your password. We are not responsible and shall not be liable for any disclosure, misuse, modification or loss of any of your information or data by anyone accessing your account using your password.
  
  You acknowledge and understand that no form of protection can completely ensure that the William Blair website will be completely protected against unauthorized entry or behavior. We shall have no liability for any claim or damages arising out of any breach of network security or any disclosure, misuse, modification or loss of data or information as a result thereof.
  
  You are solely responsible for your actions and communications undertaken or transmitted using the William Blair website. Neither we nor our affiliates exercise editorial control over your transmissions; however, we do reserve the right to review your uploads and transmissions in order to, among other things, ensure compliance with these Terms.
  
  Your use of the William Blair website is subject to all applicable local, state, national and international laws and regulations, and you agree not to use the William Blair website for purposes that violate such laws and regulations. You agree to abide by our copyright policy as set forth in our Copyright & Disclaimers page.  In addition, you agree that:
  1.    You will not interfere with another entity's use and enjoyment of the William Blair website;
  2.    You will not upload, download, transmit or otherwise distribute any message, data, information, text or other material ("Content") that is unlawful, libelous, defamatory, obscene, pornographic, indecent, lewd, harassing, threatening, invasive of privacy or publicity rights, abusive, inflammatory or otherwise objectionable;
  3.    You will not upload, download, transmit, or otherwise distribute any viruses or other harmful, disruptive or destructive files;
  4.    You will not upload, download, transmit or otherwise distribute any content that would constitute or encourage a criminal offense, violate the rights of any party, or that would otherwise create liability or violate any local, state, national or international law;
  5.    You will not attempt to obtain unauthorized access to the William Blair website or portions of the site which are restricted from general access or outside your permitted areas of access;
  6.    You will not interfere with or disrupt networks, systems, and/or computers connected to the William Blair website, and you will comply with all regulations, policies, and procedures of such networks and systems; and
  7.    You will comply with all United States laws regarding the transmission of technical data exported from the United States.
  
  No Transfer of Property Rights
  The products, technology and/or processes described and/or used on the William Blair website may be the subject of intellectual property rights reserved by William Blair or other third parties. Nothing contained herein shall be construed as conferring to you in any manner, whether by implication, estoppel or otherwise, any license, title, or ownership of or to any intellectual property right of William Blair or any third party.
  
  Updates to the William Blair Website
  We reserve the right to modify the William Blair website and the materials, features and services provided on the site at any time without prior notice to you.
  
  Warranty Restriction; Limitation Of Liability
  The materials, information and services provided on the William Blair website are provided "as is" without warranty of any kind, either expressed or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose. There is no warranty against interference with your enjoyment of any materials, information or services (including, but not limited to, any data, text, images, sounds or computer programs (including collections and compilations of them) or against infringement.
      
  Neither William Blair nor any of its principals, officers,  employees or affiliates shall be liable for any direct, indirect, special, consequential, punitive, exemplary and/or incidental damages of any kind whatsoever (including, but not limited to, lost profits or attorneys' fees) in any way due to, resulting from or arising in connection with your access to, inability to access, or use of the site, or from your reliance on any information provided on the site, even if  William Blair has been advised of the possibility of such damages. This limitation applies to all causes of action in the aggregate including, but not limited to, breach of contract, breach of warranty, negligence, strict liability, misrepresentation and any other tort. In the event the foregoing limitation of liability set forth herein shall be for any reason held unenforceable or inapplicable, you agree that William Blair and its affiliates' aggregate Liability shall not exceed five hundred dollars ($500).
  
  Neither William Blair nor its affiliates takes any responsibility or assumes any liability for any content uploaded or otherwise transmitted by you or any third party, or for any mistakes, defamation, slander, libel, omissions, falsehoods, obscenity, pornography, indecency, lewdness, harassment, threats, abuse or profanity you may encounter in using the William Blair website. You agree to hold harmless William Blair and its affiliates and parties with whom William Blair has contracted for purposes of hosting or maintaining the site from all claims based upon communications or materials made available by you on the site.
  
  International Use
  Neither William Blair nor its affiliates makes any representation that materials, features or services on the site are appropriate or available for use in locations outside the United States, and accessing them from territories where their contents are illegal is prohibited. Those who choose to access the site from other locations do so on their own initiative and are responsible for compliance with local laws.
  
  Indemnification
  Upon a request by William Blair, you agree to defend, indemnify and hold harmless William Blair and its affiliates, and their employees, contractors, officers and directors, from all liabilities, claims and expenses, including attorney's fees that arise from your use or misuse of the William Blair website. William Blair reserves the right, at its own expense, to assume the exclusive defense and control of any matter otherwise subject to indemnification by you, in which event you will cooperate with William Blair in asserting any available defenses.
  
  Enforcement by William Blair
  In the event William Blair determines, in its sole discretion, that you have violated these Terms, William Blair shall have the right to immediately terminate your access to the site, without prior notice to you, and/or pursue any other remedies available to it under applicable law.
  
  Governing Law
  This Agreement, and the respective rights and obligations of the parties hereto, shall be governed by and construed in accordance with the laws of the State of Illinois (excluding any conflict of laws provisions of the State of Illinois that would refer to and apply the substantive laws of another jurisdiction). Any suit or proceeding regarding the William Blair website or any part of the site shall be brought only in Illinois. Each of the parties consent to the exclusive personal jurisdiction and venue of the court, state and federal, located in city of Chicago, Illinois.
  
  Updates to Terms
  William Blair shall have the right to revise these Terms at anytime by updating this posting. By using the William Blair website, you agree to be bound by any such revisions and should therefore periodically visit the site to determine the then-current Terms to which you are bound.