Statements & Policies

For the convenience of our clients, we provide an updated summary of our policies and financial statements below.

Consolidated Statement of Financial Condition
Privacy Policy
Securities Investor Protection Corporation Statement
Business Continuity Plan

Consolidated Statement of Financial Condition

In accordance with the requirements of the Securities and Exchange Commission ("SEC"), the Annual and Semi-annual Consolidated Statements of Financial Condition of William Blair & Company, L.L.C., and its wholly owned subsidiaries, William Blair International, Limited and William Blair Global Holdings (collectively the "Company") are available below.

Annual Consolidated Statement of Financial Condition,
December 31, 2007 (PDF)

Semi-annual Consolidated Statement of Financial Condition, June 30, 2007 (PDF)

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

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Privacy Policy

William Blair & Company considers customer privacy to be fundamental to our relationship with clients. Throughout our history, we have committed to maintaining the confidentiality, integrity, and security of clients' personal information. It is therefore our policy to respect the privacy of current and former clients and to protect personal information entrusted to us. Internal policies have been developed to protect this confidentiality, while allowing client needs to be served.

Click to view our Consumer Privacy Policy (PDF).

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Securities Investor Protection Corporation Statement

William Blair & Company, L.L.C. is a member of the Securities Investor Protection Corporation (SIPC), which protects the client assets of its members up to $500,000 (including a maximum of $100,000 for claims for cash). An explanatory brochure is available upon request and by visiting www.sipc.org.

William Blair & Company maintains additional protection for its client assets through XL Insurance. Under the XL Insurance policy, client assets, up to $24,500,000 (for securities only) in excess of the $500,000 covered through SIPC, will be covered (subject to a $200 million aggregate cap to claims from William Blair & Company). This excess coverage is similar in scope to SIPC’s protection. This protection does not safeguard against a decline or loss in market value of the securities in a client’s account.

Prior to 2006, William Blair & Company utilized Lloyds of London for this coverage.

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Business Continuity Plan

The New York Stock Exchange Rule 446, which has been approved by the Securities and Exchange Commission, 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).

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William Blair & Company, L.L.C., a registered broker-dealer, is subject to the net capital requirements of Rule 15c3-1 under the Securities Exchange Act of 1934. Under the alternative method permitted by such rule, William Blair & Company's minimum required net capital (as defined in the rule) shall not be less than 2% of aggregate debit items arising from customer transactions, plus the required minimum net capital of consolidated subsidiaries.