# EDGAR Filing Document

**Accession Number:** 0001787833
**File Stem:** 0001787833-23-000003
**Filing Date:** 2023-3
**Character Count:** 9873
**Document Hash:** add0d10b385cd309239d07c4e876a8c6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001787833-23-000003.hdr.sgml**: 20230406

**ACCESSION NUMBER**: 0001787833-23-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230406

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Harris & Associates, Inc.
- **CENTRAL INDEX KEY:** 0001787833
- **IRS NUMBER:** 942385238
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02513
- **FILM NUMBER:** 23805447

**BUSINESS ADDRESS:**
- **STREET 1:** 1401 WILLOW PASS ROAD
- **STREET 2:** SUITE 500
- **CITY:** CONCORD
- **STATE:** CA
- **ZIP:** 94520
- **BUSINESS PHONE:** 925-969-8111

**MAIL ADDRESS:**
- **STREET 1:** 1401 WILLOW PASS ROAD
- **STREET 2:** SUITE 500
- **CITY:** CONCORD
- **STATE:** CA
- **ZIP:** 94520

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Harris & Associates
- **DATE OF NAME CHANGE:** 20190911

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001787833

**Filer CCC:** XXXXXXXX

**Contact Name:** Kimberly McManus

**Contact Phone:** 973-618-9500

**Contact Email:** kmcmanus@alternativereg.com

**Notification Emails:** tvogtman@alternativereg.com, joseph.yew@weareharris.com, alison.bouley@weareharris.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Harris & Associates, Inc.

**&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:** 94-2385238

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-02513

**E. Principal Office and Place of Business:** 1401 Willow Pass Road, Suite 500, Concord, CA, 94520

**Telephone Number:** 925-969-8111

**Additional Offices of Employment:**

- **Office #1 (Delete):** 22 Executive Park, Suite 200, Irvine, CA, 92614 | Phone: 949-536-2505

- **Office #2 (Amend):** One California Plaza, 300 S Grand Avenue, Suite 3830, Los Angeles, CA, 90071 | Phone: 1-800-827-4901

- **Office #3 (NewAdd):** 101 PROGRESS, SUITE 250, IRVINE, CA, 92618 | Phone: 949-655-3900

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

**F. Website:** www.weareharris.com

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

**Name:** Alison NMN Bouley

**Address:** 101 PROGRESS, SUITE 250, Irvine, CA, 92618

**Phone Number:** 949-536-2513

**Email:** alison.bouley@weareharris.com

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

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

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

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

**D. Date of Organization:** 09-03-1977

**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:** 200

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&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

**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 On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** Yes

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

**Types of associated persons:** Engineer or engineering firm, Engineer or engineering firm, Engineer or engineering firm, Engineer or engineering firm, Engineer or engineering firm

**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?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **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?** No

### Schedule A: Direct Owners and Executive Officers

| Name                      | Title/Status                                      | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Harris & Associates, Inc. | Harris & Associates Employee Stock Ownership Plan | 10-01-1992      | E - 75% or more   | Yes               | 94-2385238   |  |
| Steve NMN Winchester      | CEO and CFO                                       | 11-27-2016      | 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      |  | Harris & Associates, Inc. | Harris & Associates Employee Stock Ownership Plan    | 10-01-1992      | E - 75% or more   | Yes               | 94-2385238   |  |
|  | Direct      |  | Steve NMN Winchester      | CEO and CFO                                          | 11-27-2016      | NA - less than 5% | No                |  | 000000000    |
| NewAdd | Direct      |  | Michelle Lynn White       | Executive Vice President and Chief Operating Officer | 01-01-2023      | NA - less than 5% | No                |  | 000000000    |

### Execution Page

**Signature:** Joseph Thomas Yew Jr.

**Signer Name:** Joseph Thomas Yew Jr.

**Title:** Senior Consultant

**Date:** 03-29-2023

**CRD Number:** 1767976