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Ethics Metrics LLC

Service Providers Framework 2019

You are in Investment Consultancy » Investment Consultancy

Investment Consultancy

IC 01. Advisory and consultancy services

01.1. Indicate whether your services include any of the following.

01.2. Describe how you ensure that your clients understand your service offerings and fee structure.

          Research offerings include 2 classes: (A) publicly available and (B) by subscription. (A) includes (A1) consolidated DIHC risk profile trends with a rating heat-map and exposures at risk from 2005 to present through, (A2) RIA DIHC equity exposures, for latest quarter, at and (A3) gross credit exposures for 100 large DIHCs, for latest quarter, at (B) includes paid annual subscription to portfolio of 100 large DIHC Rating Reports. Each report covers the 20 latest financial quarters. Relevant statutes of limitations for potential litigation and liquidity risks are 6 and 10 years. Subscriptions, which can be used for all asset classes, are based on a % of a client's DIHC equity exposures as reported on their SEC Form 13F-HR. Transparency provided by the DIHC Rating Reports solves information asymmetries and potential fraud thus enabling clients to maximize gains and minimize losses. Notes: RIA means registered investment adviser with the U.S. Securities and Exchange Commission. DIHC means a depository institution holding company.

01.3. Additional information. [OPTIONAL]

IC 02. Assets under advisement

02. Indicate your total assets under advisement at the end of your reporting year.

02.2. Please explain why this indicator is not applicable to you.

          Ethics Metrics LLC is not a registered investment adviser. Ethics Metrics LLC is a private rating firm offering private ratings on degrees of governance risks and systemic risks on over 100 depository institution holding companies (DIHCs). These DIHCs own about 80% of the $17 trillion in total banking industry assets in the United States.

02.3. Additional information. [OPTIONAL]

Scope of research and assets under advisement is based on portfolio of 100 large DIHCs. The portfolio covers, as of 12/31/17, DIHCs that own 78% of U.S. banking industry assets, $97 trillion of centrally cleared OTC derivatives, $108 trillion of bilaterally cleared OTC derivatives, $4.7 trillion of noncore funding with money markets and fixed income, $2.2 trillion of equity (283 PRI Signatories in 19 countries own $1.3 trillion or 62% of consolidated equity values) and $4.0 trillion of gross credit exposures before derivatives, mostly with other large interconnected DIHCs. Confirmation of the latest quarterly exposures is available at

IC 03. Fiduciary manager services

03.1. Indicate whether you provide fiduciary management services.

03.4. Additional information. [OPTIONAL]

IC 04. ESG in contracts with clients (Private)