# EDGAR Filing Document

**Accession Number:** 0001482756
**File Stem:** 0001482756-23-000008
**Filing Date:** 2023-3
**Character Count:** 13762
**Document Hash:** 11e256512c4fcf6ada42f9b9e2155987
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001482756-23-000008.hdr.sgml**: 20230425

**ACCESSION NUMBER**: 0001482756-23-000008

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230425

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ENTERPRISE BANK & TRUST
- **CENTRAL INDEX KEY:** 0001482756
- **IRS NUMBER:** 431472619
- **STATE OF INCORPORATION:** MO
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02531
- **FILM NUMBER:** 23843422

**BUSINESS ADDRESS:**
- **STREET 1:** 150 N. MERAMEC
- **CITY:** CLAYTON
- **STATE:** MO
- **ZIP:** 63105
- **BUSINESS PHONE:** 314-725-5500

**MAIL ADDRESS:**
- **STREET 1:** 150 N. MERAMEC
- **CITY:** CLAYTON
- **STATE:** MO
- **ZIP:** 63105

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001482756

**Filer CCC:** XXXXXXXX

**Contact Name:** Cathy Henseler

**Contact Phone:** 314-810-3714

**Contact Email:** chenseler@enterprisebank.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** ENTERPRISE BANK & TRUST

**&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:** 43-1472619

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02531

- **Other:** Description: Missouri Division of Finance, ID: 9301

**E. Principal Office and Place of Business:** 150 N. MERAMEC, CLAYTON, MO, 63105

**Telephone Number:** 314-725-5500

**Additional Offices of Employment:**

- **Office #1 (Add):** 1200 Trinity Dr., Los Alamos, NM, 87544 | Phone: 505-661-2298

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

**F. Website:** www.enterprisebank.com

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

**Name:** Elizabeth Ann Sunley

**Titles:** VP, Director of Bank Regulatory Compliance

**Address:** 1281 N. Warson Rd., St. Louis, MO, 63132

**Phone Number:** 314-587-2716

**Email:** esunley@enterprisebank.com

**H. Business Affiliates:**

- **Name:** Enterprise Financial Services Corp

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** Enterprise Portfolio Holdings, Inc

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** NV

- **Name:** Enterprise IHC, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Real Estate Mortgage Co., LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Charford, Inc.

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Insurance Services, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EMTC Fund LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Corporate Holdings II, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** KS

- **Name:** Enterprise Aircraft Finance, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Bank & Trust Foundation

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund II, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Sugar Creek Equity Investors LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Tricensions ABQ, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** NM

- **Name:** Enterprise Real Estate Leasing I, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Real Estate Leasing II, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Real Estate Leasing III, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** Enterprise Real Estate Leasing IV, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund III, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** SCB Assets, Inc.

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** CA

- **Name:** EBT NMTC Investment Fund IV, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund V, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund VI, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund VII, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

- **Name:** EBT NMTC Investment Fund VIII, LLC

  - **Issuing Agency:** Secretary of State

  - **Jurisdiction:** MO

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Other (—)

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

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

**D. Date of Organization:** 03-18-1988

**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:** 530

**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:** 1

**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:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**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):** 
Fixed Fees
, Fixed 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 Investment Of Proceeds MS

### Item 5: Other Business Activities

- **Trust Company:** Actively Engaged: Yes, Primary Business: Yes

**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:** Investment Adviser, Accountant or accounting firm, Lawyer or law firm, Other municipal advisor, Accountant or accounting firm, Accountant or accounting firm, Lawyer or law firm, Investment Adviser, Other municipal advisor

**Total Associated Persons:** 4

### 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?** No

**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   |
|:---|:---|:---|:---|:---|:---|:---|
| Enterprise Financial Services Corp | 100% owner               | 12-01-1994      | E - 75% or more   | Yes               |  |  |
| James Brian Lally                  | President and CEO        | 05-01-2017      | NA - less than 5% | Yes               |  | 000000000    |
| Keene Scott Turner                 | EVP, CFO and COO         | 07-01-2016      | NA - less than 5% | Yes               |  | 000000000    |
| Scott Richard Goodman              | President                | 04-01-2013      | NA - less than 5% | Yes               |  | 000000000    |
| Douglas Neal Bauche                | Chief Credit Officer     | 05-01-2016      | NA - less than 5% | Yes               |  | 000000000    |
| Mark Gerard Ponder                 | EVP and CAO              | 12-01-2018      | NA - less than 5% | Yes               |  | 000000000    |
| Nicole Marie Iannacone             | EVP, CRO and CLO         | 12-01-2018      | NA - less than 5% | Yes               |  | 000000000    |
| Elizabeth Ann Sunley               | Chief Compliance Officer | 08-01-2015      | NA - less than 5% | No                |  | 000000000    |

### 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      |  | Enterprise Financial Services Corp | 100% owner               | 12-01-1994      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | James Brian Lally                  | President and CEO        | 05-01-2017      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Keene Scott Turner                 | EVP, CFO and COO         | 07-01-2016      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Scott Richard Goodman              | President                | 04-01-2013      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Douglas Neal Bauche                | Chief Credit Officer     | 05-01-2016      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Mark Gerard Ponder                 | EVP and CAO              | 12-01-2018      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Nicole Marie Iannacone             | EVP, CRO and CLO         | 12-01-2018      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Elizabeth Ann Sunley               | Chief Compliance Officer | 08-01-2015      | NA - less than 5% | No                |  | 000000000    |

### Execution Page

**Signature:** Robert J. Joseph

**Signer Name:** Robert J. Joseph

**Title:** SVP Trust & Investment Services

**Date:** 03-31-2023