# EDGAR Filing Document

**Accession Number:** 0001843989
**File Stem:** 0001843989-23-000001
**Filing Date:** 2023-2
**Character Count:** 10036
**Document Hash:** aa63c01186092ef40f9dd775d1bb1864
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001843989-23-000001.hdr.sgml**: 20230206

**ACCESSION NUMBER**: 0001843989-23-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230206

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Huron Public Finance Advisory LLC
- **CENTRAL INDEX KEY:** 0001843989
- **IRS NUMBER:** 861623732
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02575
- **FILM NUMBER:** 23589916

**BUSINESS ADDRESS:**
- **STREET 1:** 550 WEST VAN BUREN STREET
- **STREET 2:** SUITE 1700
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60607
- **BUSINESS PHONE:** 312-583-8700

**MAIL ADDRESS:**
- **STREET 1:** 550 WEST VAN BUREN STREET
- **STREET 2:** SUITE 1700
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60607

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001843989

**Filer CCC:** XXXXXXXX

**Contact Name:** Beatriz Olivera

**Contact Phone:** 312-880-5613

**Contact Email:** bolivera@hcg.com

**Notification Emails:** brandon@halyardcompliance.com, pkaplan@hcg.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Huron Public Finance Advisory LLC

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 86-1623732

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02575

**E. Principal Office and Place of Business:** 550 WEST VAN BUREN STREET, SUITE 1700, CHICAGO, IL, 60607

**Telephone Number:** 312-583-8700

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.huronconsultinggroup.com

**G. Chief Compliance Officer (CCO):**

**Name:** Philip Jay Kaplan

**Titles:** Principal

**Address:** 550 West Van Buren Street, Suite 1700, Chicago, IL, 60607

**Phone Number:** 312-583-8770

**Email:** pkaplan@hcg.com

**H. Business Affiliates:**

- **Name:** Huron Consulting Group Inc.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 01-21-2021

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 1

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                                | Title/Status                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Huron Consulting Group Holdings LLC | Sole Member                        | 03-01-2006      | E - 75% or more   | Yes               |  |  |
| Philip Jay Kaplan                   | Principal/Chief Compliance Officer | 02-01-2021      | NA - less than 5% | Yes               |  | 2259877      |

### Schedule B: Indirect Owners

| Owning Entity                       | Name                        | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Huron Consulting Group Holdings LLC | Huron Consulting Group Inc. | Sole Member    | 03-01-2002      | E - 75% or more  | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                       | Name                                | Title/Status                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Huron Consulting Group Holdings LLC | Sole Member                        | 03-01-2006      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Huron Consulting Group Holdings LLC | Huron Consulting Group Inc.         | Sole Member                        | 03-01-2002      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Philip Jay Kaplan                   | Principal/Chief Compliance Officer | 02-01-2021      | NA - less than 5% | Yes               |  | 2259877      |

### Execution Page

**Signature:** Philip J. Kaplan

**Signer Name:** Philip J. Kaplan

**Title:** Principal

**Date:** 02-02-2023