Filed with the Securities and Exchange Commission on November 2, 2026
1933 Act Registration File No. 033-20827
1940 Act Registration File No. 811-05518
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-1A
| REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | [ | X | ] | ||
| Pre-Effective Amendment No. | [ | ] | |||
| Post-Effective Amendment No. | 417 | [ | X | ] | |
and/or
| REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 | [ | X | ] | ||
| Amendment No. | 422 | [ | X | ] | |
(Check Appropriate Box or Boxes)
THE RBB FUND, INC.
(Exact Name of Registrant as Specified in Charter)
| 615 East Michigan Street |
| Milwaukee, Wisconsin 53202 |
(Address of Principal Executive Offices, including Zip Code)
Registrant’s Telephone Number, including Area Code: (609) 731-6256
Copies to:
| STEVEN PLUMP | JILLIAN L. BOSMANN, ESQUIRE | |
| The RBB Fund, Inc. | Faegre Drinker Biddle & Reath LLP | |
| 615 East Michigan Street | One Logan Square, Suite 2000 | |
| Milwaukee, Wisconsin 53202-5207 | Philadelphia, Pennsylvania 19103-6996 |
This post-effective amendment will become effective immediately pursuant to Rule 462(d).
EXPLANATORY NOTE
This Post-Effective Amendment No. 417 (“Amendment”) to the Registration Statement on Form N-1A (File No. 33-20827) of The RBB Fund, Inc. (the “Registration Statement”) is being filed pursuant to 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of adding Exhibits (j)(1) and (j)(2) to the Registration Statement. Exhibits (j)(1) and (j)(2) are the consent of the independent registered public accounting firm.
This Amendment consists of the following: (1) Facing sheet of the Registration Statement; and (2) Part C of the Registration Statement (including signature page). The Prospectus (Part A) and Statement of Additional Information (Part B) are incorporated by reference to (a) the Prospectus and Statement of Additional Information filed pursuant to Rule 497(c) under the Securities Act on January 5, 2026, within five days of the effectiveness of Post-Effective Amendment No. 381 to the Registration Statement on Form N-1A of The RBB Fund, Inc., which was filed on December 30, 2025 for the Abbey Capital Futures Strategy Fund, Abbey Capital Multi Asset Fund, Boston Partners All-Cap Value Fund, Boston Partners Global Equity Fund, Boston Partners Long/Short Equity Fund, Boston Partners Long/Short Research Fund, Boston Partners Small Cap Value Fund II, Boston Partners Global Sustainability Fund, WPG Partners Select Small Cap Value Fund, WPG Partners Small Cap Value Diversified Fund, Campbell Systematic Macro Fund, SGI Enhanced Market Leaders ETF, SGI Small Cap Core Fund, SGI U.S. Large Cap Equity Fund, SGI Global Equity Fund, SGI Peak Fund, SGI Prudent Fund, SGI Dynamic Tactical ETF, SGI U.S. Large Cap Core ETF, SGI Enhanced Core ETF, SGI Enhanced Global Income ETF, and SGI Enhanced Nasdaq-100 ETF, in each case as supplemented, and (b) the Prospectus and Statement of Additional Information filed on Post-Effective Amendment No. 403 to the Registration Statement on Form N-1A of The RBB Fund, Inc., which was filed on July 2, 2026 for the Boston Partners All-Cap Value Fund, Boston Partners Global Equity Fund, Boston Partners Long/Short Equity Fund, Boston Partners Long/Short Research Fund, Boston Partners Small Cap Value Fund II, WPG Partners Select Small Cap Value Fund, and WPG Partners Small Cap Value Diversified Fund. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 417 shall become effective immediately upon filing with the Securities and Exchange Commission.
PART C: OTHER INFORMATION
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Item 28. |
EXHIBITS |
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(a) |
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Articles of Incorporation. |
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(1) |
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(2) |
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(5) |
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(6) |
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(7) |
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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(16) |
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(17) |
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(18) |
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(19) |
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(20) |
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(21) |
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(22) |
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(23) |
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(24) |
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(25) |
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(26) |
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(27) |
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(28) |
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(29) |
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(30) |
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(31) |
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(32) |
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(33) |
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(34) |
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(35) |
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(36) |
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(37) |
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(38) |
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(39) |
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(40) |
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(41) |
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(42) |
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(43) |
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(44) |
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(45) |
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(46) |
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(47) |
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(48) |
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(49) |
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(50) |
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(51) |
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(52) |
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(53) |
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(54) |
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(55) |
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(56) |
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(57) |
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(58) |
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(59) |
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(60) |
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(61) |
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(62) |
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(63) |
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(64) |
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(65) |
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(66) |
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(67) |
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(68) |
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(69) |
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(70) |
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(71) |
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(72) |
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(73) |
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(74) |
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(75) |
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(76) |
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(77) |
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(78) |
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(79) |
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(80) |
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(81) |
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(82) |
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(83) |
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(84) |
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(85) |
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(86) |
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(87) |
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(88) |
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(89) |
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(90) |
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(91) |
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(92) |
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(93) |
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(94) |
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(95) |
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(96) |
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(97) |
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(98) |
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(99) |
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(100) |
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(101) |
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(102) |
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(103) |
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(104) |
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(105) |
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(106) |
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(107) |
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(108) |
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(109) |
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(110) |
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(111) |
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(112) |
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(113) |
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(114) |
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(115) |
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(116) |
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(117) |
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(118) |
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(119) |
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(120) |
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(121) |
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(122) |
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(123) |
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(124) |
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(125) |
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(126) |
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(127) |
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(128) |
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(129) |
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(130) |
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(131) |
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(132) |
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(133) |
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(134) |
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(135) |
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(136) |
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(137) |
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(138) |
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(139) |
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(140) |
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(b) |
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By-Laws. |
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(1) |
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(c) |
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Instruments Defining Rights of Security Holders. |
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(1) |
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(2) |
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(d) |
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Investment Advisory Contracts. |
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(1) |
Reserved. |
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(2) |
Reserved. |
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(3) |
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(4) |
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(5) |
Reserved. |
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(6) |
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(7) |
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
Reserved. | |
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(16) |
Reserved. | |
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(17) |
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(18) |
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(a) |
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(b) |
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(19) |
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(20) |
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(21) |
Reserved. | |
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(22) |
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(23) |
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(24) |
Reserved. |
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(25) |
Reserved. |
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(26) |
Reserved. |
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(27) |
Sub-Advisory Agreement (Adara Smaller Companies Fund) among Registrant, Altair Advisers LLC and Aperio Group, LLC will be filed by amendment. |
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(28) |
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(29) |
Reserved. |
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(30) |
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(31) |
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(32) |
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(33) |
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(34) |
Reserved. |
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(35) |
Reserved. |
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(36) |
Reserved. |
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(37) |
Reserved. |
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(38) |
Reserved. |
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(39) |
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(40) |
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(41) |
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(42) |
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(43) |
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(44) |
Reserved. |
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(45) |
Reserved. |
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(46) |
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(47) |
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(48) |
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(49) |
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(50) |
Reserved. |
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(51) |
Reserved. |
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(52) |
Reserved. |
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(53) |
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(54) |
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(55) |
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(56) |
Sub-Advisory Agreement (Aquarius International Fund) among Registrant, Altair Advisers, LLC and Aperio Group, LLC will be filed by amendment. |
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(57) |
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(58) |
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(59) |
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(60) |
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(61) |
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(62) |
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(63) |
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(64) |
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(65) |
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(66) |
Reserved. |
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(67) |
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(68) |
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(69) |
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(70) |
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(71) |
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(72) |
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(73) |
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(74) |
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(75) |
Reserved. |
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(76) |
Reserved. |
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(77) |
Reserved. |
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(78) |
Reserved. |
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(79) |
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(80) |
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(81) |
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(82) |
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(83) |
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(84) |
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(85) |
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(86) |
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(87) |
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(88) |
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(89) |
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(90) |
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(91) |
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(92) |
Reserved. |
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(93) |
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(94) |
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(95) |
Reserved. |
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(96) |
Reserved. |
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(97) |
Reserved. |
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(98) |
Reserved. |
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(99) |
Reserved. |
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(100) |
Reserved. |
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(101) |
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(102) |
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(103) |
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(104) |
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(105) |
Reserved. |
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(106) |
Reserved. |
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(107) |
Reserved. |
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(108) |
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(109) |
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(110) |
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(111) |
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(112) |
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(113) |
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(114) |
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(115) |
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(116) |
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(117) |
Reserved. |
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(118) |
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(119) |
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(120) |
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(121) |
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(122) |
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(123) |
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(124) |
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(125) |
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(126) |
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(127) |
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(128) |
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(129) |
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(130) |
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(131) |
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(132) |
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(133) |
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(134) |
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(135) |
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(136) |
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(137) |
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(138) |
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(139) |
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(140) |
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(141) |
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(142) |
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(143) |
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(144) |
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(145) |
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(146) |
||
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(147) |
||
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(e) |
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Underwriting Contracts. | |
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(1) |
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(2) |
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(a) |
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(b) |
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(c) |
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(d) |
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(e) |
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(f) |
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(g) |
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(h) |
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(i) |
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(j) |
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(k) |
Eleventh Amendment to the ETF Distribution Agreement (F/m Compoundr Ultrashort Treasury ETF, F/m Compoundr Intermediate Treasury ETF, F/m Compoundr Long Treasury ETF, F/m Accumulator Ultrashort U.S. Treasury Fund, F/m Accumulator Intermediate U.S. Treasury Fund, F/m Accumulator Long-Term U.S. Treasury Fund, F/m Accumulator TIPS Fund, F/m Accumulator BDC Fund, F/m Accumulator Mortgage REIT Fund, F/m Accumulator Equity REIT Fund, F/m Accumulator High Dividend Payers Fund, F/m Accumulator High Dividend Payers Growth Fund) between Registrant and Quasar Distributors, LLC will be filed by amendment. |
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(3) |
||
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(a) |
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(b) |
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(c) |
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(d) |
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(e) |
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(4) |
||
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(f) |
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Bonus or Profit Sharing Contracts. | |
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(1) |
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(2) |
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(g) |
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Custodian Agreement. | |
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(1) |
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(2) |
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(3) |
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(4) |
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(5) |
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(6) |
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(7) |
||
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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(16) |
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(17) |
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(18) |
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(19) |
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(20) |
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(21) |
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(22) |
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(23) |
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(24) |
Twenty-Third Amendment to the Amended and Restated Custody Agreement between Registrant and U.S. Bank National Association will be filed by amendment. |
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(h) |
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Other Material Contracts. |
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(1) |
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(2) |
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(3) |
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(4) |
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(5) |
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(6) |
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(7) |
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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(16) |
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(17) |
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(18) |
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(19) |
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(20) |
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(21) |
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(22) |
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(23) |
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(24) |
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(25) |
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(26) |
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(27) |
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(28) |
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(29) |
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(30) |
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(31) |
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(32) |
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(33) |
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(34) |
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(35) |
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(36) |
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(37) |
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(38) |
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(39) |
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(40) |
Reserved. |
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(41) |
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(42) |
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(43) |
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(44) |
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(45) |
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(46) |
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(47) |
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(48) |
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(49) |
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(50) |
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(51) |
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(52) |
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(53) |
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(54) |
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(55) |
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(56) |
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(57) |
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(58) |
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(59) |
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(60) |
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(61) |
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(62) |
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(63) |
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(64) |
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(65) |
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(66) |
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(67) |
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(68) |
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(69) |
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(70) |
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(71) |
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(72) |
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(73) |
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(74) |
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(75) |
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(76) |
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(77) |
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(78) |
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(79) |
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(80) |
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(81) |
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(82) |
Twenty-fifth Amendment to the Amended and Restated Fund Accounting Servicing Agreement between Registrant and U.S. Bancorp Fund Services, LLC will be filed by amendment. |
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|
(83) |
Twenty-fifth Amendment to the Amended and Restated Fund Administration Servicing Agreement between Registrant and U.S. Bancorp Fund Services, LLC will be filed by amendment. |
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|
(84) |
Twenty-third Amendment to the Amended and Restated Transfer Agent Servicing Agreement between Registrant and U.S. Bancorp Fund Services, LLC will be filed by amendment. |
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|
(i) |
(1) | |
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|
|
| (2) | Consent of Counsel is incorporated herein by reference to Post-Effective Amendment No. 381 to the Registrant's Registration Statement (33-20827) filed on December 30, 2025. |
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(8) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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(16) |
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(17) |
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(18) |
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(19) |
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(20) |
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(21) |
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(22) |
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(23) |
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(24) |
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(25) |
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(26) |
Reserved. |
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(27) |
Reserved. |
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(28) |
Reserved. |
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(29) |
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(30) |
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(31) |
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(32) |
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(33) |
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(34) |
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(35) |
Reserved. |
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(36) |
Reserved. |
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(37) |
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(38) |
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(39) |
Reserved. |
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(40) |
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(41) |
Reserved. |
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(42) |
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(43) |
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(44) |
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(45) |
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(46) |
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(47) |
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(48) |
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(49) |
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(50) |
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(51) |
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(52) |
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(53) |
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(54) |
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(55) |
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(56) |
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(57) |
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(58) |
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(59) |
Purchase Agreement (F/m Yield Curve Steepening Strategy ETF, F/m Yield Curve Flattening Strategy ETF, F/m Rising Interest Rates Strategy ETF, F/m Falling Interest Rates Strategy ETF, F/m U.S. Treasury 3 Month Bill Institutional ETF, F/m Long-Term Treasury Inflation-Protected Security (TIPS) ETF, F/m Small Cap Core ETF, F/m Small Cap Growth ETF, and F/m SMID Equity ETF ) will be filed by amendment. |
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|
(60) |
|
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|
(61) |
Purchase Agreement (Emerald Banking & Finance Evolution Fund and Emerald Growth Fund) between Registrant and Emerald Mutual Fund Advisers Trust will be filed by amendment. |
|
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|
(62) |
|
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|
(63) |
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|
(64) |
Purchase Agreement (Motley Fool Crowdsource ETF, Motley Fool Enhanced Income ETF, Motley Fool International Opportunities ETF, Motley Fool Large Cap Growth ETF, Motley Fool Multi-Factor ETF, Motley Fool Smart Volatility Factor ETF, Motley Fool 100 Equal Weight ETF, Motley Fool Next Equal Weight ETF, Motley Fool 100 Minimum Volatility ETF, Motley Fool Next Minimum Volatility ETF, Motley Fool Rising 100 ETF, and Motley Fool Rising 100 Minimum Volatility ETF ) between Registrant and Motley Fool Asset Management, LLC will be filed by amendment. |
|
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|
(65) |
|
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|
(66) |
Reserved. |
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(67) |
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(68) |
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|
(69) |
Purchase Agreement (F/m Compoundr Intermediate Treasury ETF, F/m Compoundr Long Treasury ETF) between Registrant and F/m Investments LLC will be filed by amendment. |
|
|
|
|
|
|
(70) |
|
|
|
|
|
|
(71) |
Purchase Agreement (F/m Accumulator Intermediate U.S. Treasury Fund, F/m Accumulator Long-Term U.S. Treasury Fund, F/m Accumulator TIPS Fund, F/m Accumulator BDC Fund, F/m Accumulator Mortgage REIT Fund, F/m Accumulator Equity REIT Fund, F/m Accumulator High Dividend Payers Fund, F/m Accumulator High Dividend Payers Growth Fund) between Registrant and F/m Investment LLC will be filed by amendment. |
|
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|
(m) |
|
Rule 12b-1 Plan. |
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(1) |
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(2) |
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(3) |
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(4) |
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(5) |
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(6) |
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(7) |
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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|
(16) |
Reserved |
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(17) |
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(18) |
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(19) |
Reserved. |
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|
(20) |
Reserved. |
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(21) |
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(22) |
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(23) |
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(24) |
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(25) |
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(26) |
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(27) |
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(28) |
Reserved. |
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(29) |
Plan of Distribution pursuant to Rule 12b-1 (Oakhurst Fixed Income Fund – Retail Shares) will be filed by amendment. |
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(30) |
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(31) |
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(32) |
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(33) |
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(34) |
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(35) |
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(36) |
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(n) |
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Rule 18f-3 Plan. |
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(1) |
Amended Rule 18f-3 Plan will be filed by amendment. |
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(o) |
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Reserved. |
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(p) |
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Code of Ethics. |
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(1) |
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(2) |
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(3) |
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(4) |
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(5) |
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(6) |
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(7) |
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(8) |
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(9) |
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(10) |
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(11) |
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(12) |
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(13) |
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(14) |
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(15) |
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(16) |
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(17) |
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(18) |
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(19) |
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Item 29. |
PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT |
None.
|
Item 30. |
INDEMNIFICATION |
Sections 1, 2, 3 and 4 of Article VIII of Registrant’s Articles of Incorporation, as amended, incorporated herein by reference as Exhibits (a)(1) and (a)(3), provide as follows:
Section 1. To the fullest extent that limitations on the liability of directors and officers are permitted by the Maryland General Corporation Law, no director or officer of the Corporation shall have any liability to the Corporation or its shareholders for damages. This limitation on liability applies to events occurring at the time a person serves as a director or officer of the Corporation whether or not such person is a director or officer at the time of any proceeding in which liability is asserted.
Section 2. The Corporation shall indemnify and advance expenses to its currently acting and its former directors to the fullest extent that indemnification of directors is permitted by the Maryland General Corporation Law. The Corporation shall indemnify and advance expenses to its officers to the same extent as its directors and to such further extent as is consistent with law. The Board of Directors may by law, resolution or agreement make further provision for indemnification of directors, officers, employees and agents to the fullest extent permitted by the Maryland General Corporation law.
Section 3. No provision of this Article shall be effective to protect or purport to protect any director or officer of the Corporation against any liability to the Corporation or its security holders to which he would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office.
Section 4. References to the Maryland General Corporation Law in this Article are to the law as from time to time amended. No further amendment to the Articles of Incorporation of the Corporation shall decrease, but may expand, any right of any person under this Article based on any event, omission or proceeding prior to such amendment. Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of Registrant pursuant to the foregoing provisions, or otherwise, Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by Registrant of expenses incurred or paid by a director, officer or controlling person of Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.
Section 12 of the Investment Advisory Agreement between Registrant and Boston Partners Global Investors, Inc. (“Boston Partners”) (f/k/a Robeco Investment Management, Inc.), incorporated herein by reference to exhibit (d)(9), provides for the indemnification of Boston Partners against certain losses.
Section 12 of each of the Investment Advisory Agreements between the Registrant and Matson Money, Inc. (f/k/a Abundance Technologies, Inc.), (“Matson Money”) incorporated herein by reference as exhibits (d)(3) and (d)(39) provides for the indemnification of Matson Money against certain losses.
Section 12 of each of the Investment Advisory Agreements between the Registrant and Summit Global Investments, LLC (“SGI”) incorporated herein by reference as exhibits (d)(7), (d)(11), (d)(81), (d)(86), (d)(102), (d)(111), (d)(122), (d)(125), and (d)(130) provides for the indemnification of SGI against certain losses.
Section 12 of each of the Investment Advisory Agreements with Abbey Capital Limited (“Abbey Capital”) incorporated herein by reference as exhibits (d)(13), (d)(60) and (d)(61) provides for the indemnification of Abbey Capital against certain losses.
Section 13 of each of the Investment Advisory Agreements with Abbey Capital incorporated herein by reference as exhibits (d)(14) and (d)(71) provides for the indemnification of Abbey Capital against certain losses.
Section 12 of each of the Investment Advisory Agreements between the Registrant and Altair Advisers LLC (“Altair”) incorporated herein by reference as exhibits (d)(23) and (d)(55) provide for indemnification of Altair against certain losses.
Section 12 of each of the Investment Advisory Agreements between the Registrant and Campbell & Company Investment Adviser LLC (“CCIA”) incorporated herein by reference as exhibits (d)(46) and (d)(47) provide for indemnification of CCIA against certain losses.
Section 12 of each of the Investment Advisory Agreements between the Registrant and Motley Fool Asset Management, LLC (“Motley Fool”) incorporated herein by reference to exhibits (d)(54), (d)(73), (d)(104), (d)(109), and (d)(140) provides for indemnification of Motley Fool against certain losses.
Section 12 of the Investment Advisory Agreement between the Registrant and F/m Investments LLC (“F/m”) incorporated herein by reference to exhibits (d)(113), (d)(115), (d)(118), (d)(120), (d)(121), (d)(127), (d)(132), (d)(133), (d)(137), (d)(139), (d)(144), and (d)(147) provide for the indemnification of F/m against certain losses.
Section 12 of the Investment Advisory Agreements between the Registrant and Emerald Mutual Fund Advisers Trust (“Emerald”) incorporated herein by reference to exhibits (d)(134) provides for indemnification of Emerald against certain losses.
Section 8 of the Distribution Agreement between Registrant and Vigilant Distributors, LLC incorporated herein by reference to exhibit (e)(1) provides for the indemnification of Vigilant Distributors, LLC against certain losses.
Section 6 of the Distribution Agreement between Registrant and Quasar Distributors, LLC incorporated herein by reference to exhibit (e)(2) provides for the indemnification of Quasar Distributors, LLC against certain losses.
Section 9 of the Distribution Agreement between Registrant and Quasar Distributors, LLC incorporated herein by reference to exhibit (e)(3) provides for the indemnification of Quasar Distributors, LLC against certain losses.
|
Item 31. |
BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISERS. |
1. Boston Partners Global Investors, Inc.
The sole business activity of Boston Partners Global Investors, Inc. (“Boston Partners”), One Beacon Street, 30th Floor, Boston, Massachusetts 02108, is to serve as an investment adviser. Boston Partners provides investment advisory services to the Boston Partners Funds and the WPG Partners Funds. Boston Partners is registered under the Investment Advisers Act of 1940 and serves as an investment adviser to domestic and foreign institutional investors, investment companies, commingled trust funds, private investment partnerships and collective investment vehicles. Below is a list of each executive officer and director of Boston Partners indicating each business, profession, vocation or employment of a substantial nature in which each such person has been engaged within the last two years, for his or her own account or in the capacity of director, officer, partner or trustee.
|
Name and Position with Boston Partners |
Other Companies |
Position With Other Companies |
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Joseph F. Feeney, Jr. |
Boston Partners Trust Company |
Chief Investment Officer |
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Mark E. Donovan |
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William G. Butterly, III |
Boston Partners Securities, L.L.C. |
Chief Legal Officer |
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Boston Partners Trust Company |
General Counsel, Secretary & Director |
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Boston Partners (UK) Limited |
Director & Secretary |
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Mark S. Kuzminskas |
Boston Partners Trust Company |
Director & Chief Operating Officer |
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Boston Partners (UK) Limited |
Director & Chief Operating Officer |
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Kenneth Lengieza |
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|
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Greg A. Varner |
Boston Partners Trust Company |
Chief Financial Officer & Treasurer |
|
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Boston Partners (UK) Limited |
Director & Chief Financial Officer |
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Stan H. Koyanagi |
ORIX Corporation |
Director, Managing Executive Officer and Global General Counsel |
|
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ORIX Corporation Europe N.V. |
Director & General Counsel |
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ORIX Corporation USA |
Director & General Counsel |
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Jeffrey A. Finley |
ORIX Corporation USA |
Head of Corporate Development and Strategic Opportunities; Chief Operating Officer of ORIX Capital Partners, a subsidiary of ORIX Corporation USA |
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Kiyoshi Habiro Director |
ORIX Corporation Europe N.V. |
ORIX Corporation Europe N.V. |
|
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Director & Chief Executive Officer |
Director & Chief Executive Officer |
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OCE Nederland B.V. |
OCE Nederland B.V. |
|
|
Director |
Director |
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OCE US Holding, Inc. |
OCE US Holding, Inc. |
|
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Director |
Director |
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Canara Robeco Asset Management Company Limited |
Canara Robeco Asset Management Company Limited |
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Gilbert O. J. Van Hassel
|
Harbor Capital Advisors, Inc. |
Director; Senior Managing Director, Group Head of ORIX USA Asset Management & Executive Chairman, ORIX Global Asset Management |
|
David G. Van Hooser |
Harbor Capital Advisors, Inc. |
Director (Chairman of the Board of Directors) |
2. Matson Money, Inc.:
The sole business activity of Matson Money, Inc. (“Matson Money”), 5955 Deerfield Blvd., Mason, Ohio 45040, is to serve as an investment adviser. Matson Money is registered under the Investment Advisers Act of 1940.
Below is a list of each executive officer and director of Matson Money indicating each business, profession, vocation or employment of a substantial nature in which each such person has been engaged within the last two years, for his or her own account or in the capacity of director, officer, partner or trustee.
|
Name and Position with Matson Money, Inc. |
Name of Other Company |
Position With Other Company |
|
Mark E. Matson |
Keep It Tight Fitness, LLC |
50% owner |
|
Mark E. Matson |
The Matson Family Foundation |
100% owner |
|
Michelle Matson |
None |
None |
|
Daniel J. List |
None |
None |
3. Summit Global Investments, LLC:
The sole business activity of Summit Global Investments, LLC (“SGI”), 620 South Main Street, Bountiful, Utah 84010, is to serve as an investment adviser. SGI is registered under the Investment Advisers Act of 1940. The only employment of a substantial nature of each of SGI’s directors and officers is with SGI.
4. Abbey Capital Limited:
Abbey Capital Limited (“Abbey Capital”), 8 St. Stephen’s Green, Dublin 2, Ireland, is registered under the Investment Advisers Act of 1940. The only employment of a substantial nature of each of Abbey Capital’s directors and officers is with Abbey Capital.
5. Altair Advisers LLC:
Altair Advisers LLC (“Altair”), 225 West Washington Street, Chicago, Illinois 60606, is registered under the Investment Advisers Act of 1940. The only employment of a substantial nature of each of Altair’s directors and officers is with Altair.
6. Campbell & Company Investment Adviser LLC:
The principal business activity of Campbell & Company Investment Adviser LLC (“CCIA”), 2850 Quarry Lake Drive, Baltimore, Maryland 21209, is to serve as an investment adviser. CCIA is registered under the Investment Advisers Act of 1940.
Below is a list of each executive officer and director of CCIA indicating each business, profession, vocation or employment of a substantial nature in which each such person has been engaged within the last two years, for his or her own account or in the capacity of director, officer, partner or trustee.
|
Name and Position with CCIA |
Name of Other Company |
Position With Other Company |
|
Dr. Kevin Cole |
Campbell & Company, LP |
Chief Executive Officer and Chief Investment Officer |
|
|
Campbell & Company, LLC |
Director and Chief Executive Officer |
|
|
Campbell Absolute Return F1 (Cayman) |
Director |
|
|
Campbell Systematic Macro Offshore Limited |
Director |
|
Name and Position with CCIA |
Name of Other Company |
Position With Other Company |
|
Thomas P. Lloyd |
Campbell & Company, LP |
General Counsel, Chief Compliance Officer, and Secretary |
|
|
Campbell & Company, LLC |
Director, General Counsel and Secretary |
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Campbell Financial Services, LLC |
Director, President, Chief Compliance Officer, and Secretary |
|
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Campbell Absolute Return F1 (Cayman) |
Director |
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Campbell Systematic Macro Offshore Limited |
Director |
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Campbell Offshore Fund Limited SPC |
Director |
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John R. Radle |
Campbell & Company, LP |
Chief Operating Officer and Treasurer |
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Campbell & Company, LLC |
Director and Chief Operating Officer |
|
|
Campbell Financial Services, LLC |
Director and Chief Operating Officer |
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Campbell Absolute Return F1 (Cayman) |
Director |
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Campbell Systematic Macro Offshore Limited |
Director |
7. Motley Fool Asset Management, LLC:
A description of any other business, profession, vocation, or employment of a substantial nature in which Motley Fool Asset Management, LLC and each director, officer, or partner of Motley Fool Asset Management, LLC is or has been engaged within the last two fiscal years for his or her own account or in the capacity of director, employee, partner or trustee, is set forth in the Form ADV of Motley Fool Asset Management, LLC, as filed with the SEC on December 23, 2025, and is incorporated herein by this reference.
8. F/m Investments LLC:
A description of any other business, profession, vocation, or employment of a substantial nature in which F/m Investments LLC and each director, officer, or partner of F/m Investments LLC is or has been engaged
within the last two fiscal years for his or her own account or in the capacity of director, employee, partner or trustee, is set forth in the Form ADV of F/m Investments LLC, as filed with the SEC on April 3, 2025, and is incorporated herein by this reference.
9. Emerald Mutual Fund Advisers Trust:
A description of any other business, profession, vocation, or employment of a substantial nature in which Emerald Mutual Fund Advisers Trust and each director, officer, or partner of Emerald Mutual Fund Advisers Trust is or has been engaged within the last two fiscal years for his or her own account or in the capacity of director, employee, partner or trustee, is set forth in the Form ADV of Emerald Mutual Fund Advisers Trust, as filed with the SEC on March 25, 2025, and is incorporated herein by this reference.
|
Item 32. |
PRINCIPAL UNDERWRITER |
(a)(1) Quasar Distributors, LLC (“Quasar”) serves as principal underwriter for the following investment companies registered under the Investment Company Act of 1940, as amended:
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1. |
Capital Advisors Growth Fund, Series of Advisors Series Trust |
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2. |
Chase Growth Fund, Series of Advisors Series Trust |
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3. |
Davidson Multi Cap Equity Fund, Series of Advisors Series Trust |
|
4. |
Edgar Lomax Value Fund, Series of Advisors Series Trust |
|
5. |
First Sentier American Listed Infrastructure Fund, Series of Advisors Series Trust |
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6. |
First Sentier Global Listed Infrastructure Fund, Series of Advisors Series Trust |
|
7. |
Fort Pitt Capital Total Return Fund, Series of Advisors Series Trust |
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8. |
Huber Large Cap Value Fund, Series of Advisors Series Trust |
|
9. |
Huber Mid Cap Value Fund, Series of Advisors Series Trust |
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10. |
Huber Select Large Cap Value Fund, Series of Advisors Series Trust |
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11. |
Huber Small Cap Value Fund, Series of Advisors Series Trust |
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12. |
Logan Capital Broad Innovative Growth ETF, Series of Advisors Series Trust |
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13. |
Medalist Partners MBS Total Return Fund, Series of Advisors Series Trust |
|
14. |
Medalist Partners Short Duration Fund, Series of Advisors Series Trust |
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15. |
O’Shaughnessy Market Leaders Value Fund, Series of Advisors Series Trust |
|
16. |
PIA BBB Bond Fund, Series of Advisors Series Trust |
|
17. |
PIA High Yield (MACS) Fund, Series of Advisors Series Trust |
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18. |
PIA High Yield Fund, Series of Advisors Series Trust |
|
19. |
PIA MBS Bond Fund, Series of Advisors Series Trust |
|
20. |
PIA Short-Term Securities Fund, Series of Advisors Series Trust |
|
21. |
Poplar Forest Cornerstone Fund, Series of Advisors Series Trust |
|
22. |
Poplar Forest Partners Fund, Series of Advisors Series Trust |
|
23. |
Pzena Emerging Markets Value Fund, Series of Advisors Series Trust |
|
24. |
Pzena International Small Cap Value Fund, Series of Advisors Series Trust |
|
25. |
Pzena International Value Fund, Series of Advisors Series Trust |
|
26. |
Pzena Mid Cap Value Fund, Series of Advisors Series Trust |
|
27. |
Pzena Small Cap Value Fund, Series of Advisors Series Trust |
|
28. |
Reverb ETF, Series of Advisors Series Trust |
|
29. |
Scharf Fund, Series of Advisors Series Trust |
|
30. |
Scharf Global Opportunity Fund, Series of Advisors Series Trust |
|
31. |
Scharf Multi-Asset Opportunity Fund, Series of Advisors Series Trust |
|
32. |
Shenkman Capital Floating Rate High Income Fund, Series of Advisors Series Trust |
|
33. |
Shenkman Capital Short Duration High Income Fund, Series of Advisors Series Trust |
|
34. |
VegTech Plant-based Innovation & Climate ETF, Series of Advisors Series Trust |
|
35. |
The Aegis Funds |
|
36. |
Allied Asset Advisors Funds |
|
37. |
Angel Oak Funds Trust |
|
38. |
Angel Oak Strategic Credit Fund |
|
39. |
Barrett Opportunity Fund, Inc. |
|
40. |
Brookfield Investment Funds |
|
41. |
Buffalo Funds |
|
42. |
Cushing® Mutual Funds Trust |
|
43. |
DoubleLine Funds Trust |
|
44. |
EA Series Trust (f/k/a Alpha Architect ETF Trust) |
|
45. |
Ecofin Tax-Advantaged Social Impact Fund, Inc. |
|
46. |
AAM Bahl & Gaynor Small/Mid Cap Income Growth ETF, Series of ETF Series Solutions |
|
47. |
AAM Low Duration Preferred and Income Securities ETF, Series of ETF Series Solutions |
|
48. |
AAM S&P 500 Emerging Markets High Dividend Value ETF, Series of ETF Series Solutions |
|
49. |
AAM S&P 500 High Dividend Value ETF, Series of ETF Series Solutions |
|
50. |
AAM S&P Developed Markets High Dividend Value ETF, Series of ETF Series Solutions |
|
51. |
AAM Transformers ETF, Series of ETF Series Solutions |
|
52. |
AlphaMark Actively Managed Small Cap ETF, Series of ETF Series Solutions |
|
53. |
Aptus Collared Income Opportunity ETF, Series of ETF Series Solutions |
|
54. |
Aptus Defined Risk ETF, Series of ETF Series Solutions |
|
55. |
Aptus Drawdown Managed Equity ETF, Series of ETF Series Solutions |
|
56. |
Aptus Enhanced Yield ETF, Series of ETF Series Solutions |
|
57. |
Aptus Large Cap Enhanced Yield ETF, Series of ETF Series Solutions |
|
58. |
Bahl & Gaynor Income Growth ETF, Series of ETF Series Solutions |
|
59. |
Blue Horizon BNE ETF, Series of ETF Series Solutions |
|
60. |
BTD Capital Fund, Series of ETF Series Solutions |
|
61. |
Carbon Strategy ETF, Series of ETF Series Solutions |
|
62. |
Cboe Vest 10 Year Interest Rate Hedge ETF, Series of ETF Series Solutions |
|
63. |
ClearShares OCIO ETF, Series of ETF Series Solutions |
|
64. |
ClearShares Piton Intermediate Fixed Income Fund, Series of ETF Series Solutions |
|
65. |
ClearShares Ultra-Short Maturity ETF, Series of ETF Series Solutions |
|
66. |
Distillate International Fundamental Stability & Value ETF, Series of ETF Series Solutions |
|
67. |
Distillate Small/Mid Cash Flow ETF, Series of ETF Series Solutions |
|
68. |
Distillate U.S. Fundamental Stability & Value ETF, Series of ETF Series Solutions |
|
69. |
ETFB Green SRI REITs ETF, Series of ETF Series Solutions |
|
70. |
Hoya Capital High Dividend Yield ETF, Series of ETF Series Solutions |
|
71. |
Hoya Capital Housing ETF, Series of ETF Series Solutions |
|
72. |
iBET Sports Betting & Gaming ETF, Series of ETF Series Solutions |
|
73. |
International Drawdown Managed Equity ETF, Series of ETF Series Solutions |
|
74. |
LHA Market State Alpha Seeker ETF, Series of ETF Series Solutions |
|
75. |
LHA Market State Tactical Beta ETF, Series of ETF Series Solutions |
|
76. |
LHA Market State Tactical Q ETF, Series of ETF Series Solutions |
|
77. |
LHA Risk-Managed Income ETF, Series of ETF Series Solutions |
|
78. |
Loncar Cancer Immunotherapy ETF, Series of ETF Series Solutions |
|
79. |
Loncar China BioPharma ETF, Series of ETF Series Solutions |
|
80. |
McElhenny Sheffield Managed Risk ETF, Series of ETF Series Solutions |
|
81. |
Nationwide Dow Jones® Risk-Managed Income ETF, Series of ETF Series Solutions |
|
82. |
Nationwide Nasdaq-100 Risk-Managed Income ETF, Series of ETF Series Solutions |
|
83. |
Nationwide Russell 2000® Risk-Managed Income ETF, Series of ETF Series Solutions |
|
84. |
Nationwide S&P 500® Risk-Managed Income ETF, Series of ETF Series Solutions |
|
85. |
NETLease Corporate Real Estate ETF, Series of ETF Series Solutions |
|
86. |
Opus Small Cap Value ETF, Series of ETF Series Solutions |
|
87. |
Roundhill Acquirers Deep Value ETF, Series of ETF Series Solutions |
|
88. |
The Acquirers Fund, Series of ETF Series Solutions |
|
89. |
U.S. Global GO GOLD and Precious Metal Miners ETF, Series of ETF Series Solutions |
|
90. |
U.S. Global JETS ETF, Series of ETF Series Solutions |
|
91. |
U.S. Global Sea to Sky Cargo ETF, Series of ETF Series Solutions |
|
92. |
US Vegan Climate ETF, Series of ETF Series Solutions |
|
93. |
First American Funds, Inc. |
|
94. |
FundX Investment Trust |
|
95. |
The Glenmede Fund, Inc. |
|
96. |
The Glenmede Portfolios |
|
97. |
The GoodHaven Funds Trust |
|
98. |
Harding, Loevner Funds, Inc. |
|
99. |
Hennessy Funds Trust |
|
100. |
Horizon Funds |
|
101. |
Hotchkis & Wiley Funds |
|
102. |
Intrepid Capital Management Funds Trust |
|
103. |
Jacob Funds Inc. |
|
104. |
The Jensen Quality Growth Fund Inc. |
|
105. |
Kirr, Marbach Partners Funds, Inc. |
|
106. |
Leuthold Funds, Inc. |
|
107. |
Core Alternative ETF, Series of Listed Funds Trust |
|
108. |
Wahed Dow Jones Islamic World ETF, Series of Listed Funds Trust |
|
109. |
Wahed FTSE USA Shariah ETF, Series of Listed Funds Trust |
|
110. |
LKCM Funds |
|
111. |
LoCorr Investment Trust |
|
112. |
MainGate Trust |
|
113. |
ATAC Rotation Fund, Series of Managed Portfolio Series |
|
114. |
Coho Relative Value Equity Fund, Series of Managed Portfolio Series |
|
115. |
Coho Relative Value ESG Fund, Series of Managed Portfolio Series |
|
116. |
Cove Street Capital Small Cap Value Fund, Series of Managed Portfolio Series |
|
117. |
Ecofin Global Energy Transition Fund, Series of Managed Portfolio Series |
|
118. |
Ecofin Global Renewables Infrastructure Fund, Series of Managed Portfolio Series |
|
119. |
Ecofin Global Water ESG Fund, Series of Managed Portfolio Series |
|
120. |
Ecofin Sustainable Water Fund, Series of Managed Portfolio Series |
|
121. |
Jackson Square Large-Cap Growth Fund, Series of Managed Portfolio Series |
|
122. |
Jackson Square SMID-Cap Growth Fund, Series of Managed Portfolio Series |
|
123. |
Kensington Active Advantage Fund, Series of Managed Portfolio Series |
|
124. |
Kensington Defender Fund, Series of Managed Portfolio Series |
|
125. |
Kensington Dynamic Growth Fund, Series of Managed Portfolio Series |
|
126. |
Kensington Managed Income Fund, Series of Managed Portfolio Series |
|
127. |
LK Balanced Fund, Series of Managed Portfolio Series |
|
128. |
Muhlenkamp Fund, Series of Managed Portfolio Series |
|
129. |
Nuance Concentrated Value Fund, Series of Managed Portfolio Series |
|
130. |
Nuance Concentrated Value Long Short Fund, Series of Managed Portfolio Series |
|
131. |
Nuance Mid Cap Value Fund, Series of Managed Portfolio Series |
|
132. |
Olstein All Cap Value Fund, Series of Managed Portfolio Series |
|
133. |
Olstein Strategic Opportunities Fund, Series of Managed Portfolio Series |
|
134. |
Port Street Quality Growth Fund, Series of Managed Portfolio Series |
|
135. |
Principal Street High Income Municipal Fund, Series of Managed Portfolio Series |
|
136. |
Principal Street Short Term Municipal Fund, Series of Managed Portfolio Series |
|
137. |
Reinhart Genesis PMV Fund, Series of Managed Portfolio Series |
|
138. |
Reinhart International PMV Fund, Series of Managed Portfolio Series |
|
139. |
Reinhart Mid Cap PMV Fund, Series of Managed Portfolio Series |
|
140. |
Tortoise Energy Infrastructure and Income Fund, Series of Managed Portfolio Series |
|
141. |
Tortoise Energy Infrastructure Total Return Fund, Series of Managed Portfolio Series |
|
142. |
Tortoise North American Pipeline Fund, Series of Managed Portfolio Series |
|
143. |
V-Shares MSCI World ESG Materiality and Carbon Transition ETF, Series of Managed Portfolio Series |
|
144. |
V-Shares US Leadership Diversity ETF, Series of Managed Portfolio Series |
|
145. |
Greenspring Income Opportunities Fund, Series of Manager Directed Portfolios |
|
146. |
Hood River International Opportunity Fund, Series of Manager Directed Portfolios |
|
147. |
Hood River Small-Cap Growth Fund, Series of Manager Directed Portfolios |
|
148. |
Mar Vista Strategic Growth Fund, Series of Manager Directed Portfolios |
|
149. |
Vert Global Sustainable Real Estate Fund, Series of Manager Directed Portfolios |
|
150. |
Matrix Advisors Funds Trust |
|
151. |
Matrix Advisors Value Fund, Inc. |
|
152. |
Monetta Trust |
|
153. |
Nicholas Equity Income Fund, Inc. |
|
154. |
Nicholas Fund, Inc. |
|
155. |
Nicholas II, Inc. |
|
156. |
Nicholas Limited Edition, Inc. |
|
157. |
Oaktree Diversified Income Fund Inc. |
|
158. |
Permanent Portfolio Family of Funds |
|
159. |
Perritt Funds, Inc. |
|
160. |
Procure ETF Trust II |
|
161. |
Professionally Managed Portfolios |
|
162. |
Prospector Funds, Inc. |
|
163. |
Provident Mutual Funds, Inc. |
|
164. |
Abbey Capital Futures Strategy Fund, Series of The RBB Fund, Inc. |
|
165. |
Abbey Capital Multi-Asset Fund, Series of The RBB Fund, Inc. |
|
166. |
Adara Smaller Companies Fund, Series of The RBB Fund, Inc. |
|
167. |
Aquarius International Fund, Series of The RBB Fund, Inc. |
|
168. |
Boston Partners All Cap Value Fund, Series of The RBB Fund, Inc. |
|
169. |
Boston Partners Global Equity Fund, Series of The RBB Fund, Inc. |
|
170. |
Boston Partners Long/Short Equity Fund, Series of The RBB Fund, Inc. |
|
171. |
Boston Partners Long/Short Research Fund, Series of The RBB Fund, Inc. |
|
172. |
Boston Partners Small Cap Value Fund II, Series of The RBB Fund, Inc. |
|
173. |
Campbell Systematic Macro Fund, Series of The RBB Fund, Inc. |
|
174. |
F/m Opportunistic Income ETF, Series of The RBB Fund, Inc. |
|
175. |
F/m 6-Month Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
176. |
F/m 9-18 Month Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
177. |
F/m 2-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
178. |
F/m 3-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
179. |
F/m 5-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
180. |
F/m 7-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
181. |
F/m 10-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
182. |
F/m 20-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
183. |
F/m 30-Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
184. |
F/m 15+ Year Investment Grade Corporate Bond ETF, Series of The RBB Fund, Inc. |
|
185. |
F/m Emerald Life Sciences Innovation ETF, Series of The RBB Fund, Inc. |
|
186. |
F/m Emerald Special Situations ETF, Series of The RBB Fund, Inc. |
|
187. |
F/m Ultrashort Treasury Inflation-Protected Security (TIPS) ETF, Series of The RBB Fund, Inc. |
|
188. |
F/m Ultrashort Tax-Free Municipal ETF, Series of The RBB Fund, Inc. |
|
189. |
F/m High Yield 100 ETF, Series of The RBB Fund, Inc. |
|
190. |
F/m Compoundr U.S. Aggregate Bond ETF of The RBB Fund, Inc. |
|
191. |
F/m Compoundr High Yield Bond ETF of The RBB Fund, Inc. |
|
192. |
F/m Compoundr Ultrashort Treasury ETF |
|
193. |
F/m Accumulator Ultrashort U.S. Treasury Fund |
|
193. |
Motley Fool 100 Index ETF, Series of The RBB Fund, Inc. |
|
194. |
Motley Fool Capital Efficiency 100 Index ETF, Series of The RBB Fund, Inc. |
|
195. |
Motley Fool Global Opportunities ETF, Series of The RBB Fund, Inc. |
|
196. |
Motley Fool Mid-Cap Growth ETF, Series of The RBB Fund, Inc. |
|
197. |
Motley Fool Next Index ETF, Series of The RBB Fund, Inc. |
|
198. |
Motley Fool Small-Cap Growth ETF, Series of The RBB Fund, Inc. |
|
199. |
Motley Fool Innovative Growth Factor ETF, Series of The RBB Fund, Inc. |
|
200. |
Motley Fool Momentum Factor ETF, Series of The RBB Fund, Inc. |
|
201. |
Motley Fool Value Factor ETF, Series of The RBB Fund, Inc. |
|
202. |
SGI Enhanced Core ETF, Series of The RBB Fund, Inc. |
|
203. |
SGI Enhanced Global Income ETF, Series of The RBB Fund, Inc. |
|
204. |
SGI Enhanced Nasdaq-100 ETF, Series of The RBB Fund, Inc. |
|
205. |
SGI Global Equity Fund, Series of The RBB Fund, Inc. |
|
206. |
SGI Peak Fund, Series of The RBB Fund, Inc. |
|
207. |
SGI Prudent Fund, Series of The RBB Fund, Inc. |
|
208. |
SGI Small Cap Core Fund, Series of The RBB Fund, Inc. |
|
209. |
SGI U.S. Large Cap Equity Fund, Series of The RBB Fund, Inc. |
|
210. |
SGI U.S. Large Cap Core ETF, Series of The RBB Fund, Inc. |
|
211. |
SGI Dynamic Tactical ETF, Series of The RBB Fund, Inc. |
|
212. |
SGI Enhanced Market Leaders ETF, Series of The RBB Fund, Inc. |
|
213. |
F/m US Treasury 10 Year Note ETF, Series of The RBB Fund, Inc. |
|
214. |
F/m US Treasury 12 Month Bill ETF, Series of The RBB Fund, Inc. |
|
215. |
F/m US Treasury 2 Year Note ETF, Series of The RBB Fund, Inc. |
|
216. |
F/m US Treasury 20 Year Bond ETF, Series of The RBB Fund, Inc. |
|
217. |
F/m US Treasury 3 Month Bill ETF, Series of The RBB Fund, Inc. |
|
218. |
F/m US Treasury 3 Year Note ETF, Series of The RBB Fund, Inc. |
|
219. |
F/m US Treasury 30 Year Bond ETF, Series of The RBB Fund, Inc. |
|
220. |
F/m US Treasury 5 Year Note ETF, Series of The RBB Fund, Inc. |
|
221. |
F/m US Treasury 6 Month Bill ETF, Series of The RBB Fund, Inc. |
|
222. |
F/m US Treasury 7 Year Note ETF, Series of The RBB Fund, Inc. |
|
223. |
WPG Partners Select Small Cap Value Fund, Series of The RBB Fund, Inc. |
|
224. |
WPG Partners Small Cap Value Diversified Fund, Series of The RBB Fund, Inc. |
|
225. |
WPG Partners Select Hedged Fund, Series of The RBB Fund, Inc. |
|
226. |
P/E Global Enhanced International Fund, Series of The RBB Fund Trust |
|
227. |
Torray Fund, Series of The RBB Fund Trust |
|
228. |
Longview Advantage ETF, Series of The RBB Fund Trust |
|
229. |
Longview Advantage Fixed Income ETF, Series of The RBB Fund Trust |
|
230. |
First Eagle Global Equity ETF, Series of The RBB Fund Trust |
|
231. |
First Eagle Overseas Equity ETF, Series of The RBB Fund Trust |
|
232. |
Tweedy, Browne Insider + Value ETF, Series of The RBB Fund Trust |
|
233. |
Tweedy, Browne International Insider + Value ETF, Series of The RBB Fund Trust |
|
234. |
Advent Convertible Bond ETF, Series of The RBB Fund Trust |
|
235. |
Twin Oak Active Opportunities II ETF, Series of The RBB Fund Trust |
|
236. |
Twin Oak Active Opportunities III ETF, Series of The RBB Fund Trust |
|
237. |
Twin Oak Endure ETF, Series of The RBB Fund Trust |
|
238. |
Twin Oak Strategic Solutions ETF, Series of The RBB Fund Trust |
|
239. |
Wayfinder Dynamic U.S. Interest Rate ETF, Series of The RBB Fund Trust |
|
240. |
MUFG Japan Small Cap Active ETF, Series of The RBB Fund Trust |
|
241. |
Penn Capital Short Duration High Income Fund, Series of The RBB Fund Trust |
|
242. |
Penn Capital Special Situations Small Cap Fund, Series of The RBB Fund Trust |
|
243. |
Pathfinder Focused Opportunities ETF, Series of The RBB Fund Trust |
|
244. |
Pathfinder Disciplined US Equity ETF, Series of The RBB Fund Trust |
|
245. |
M.D. Sass Concentrated Value ETF, Series of The RBB Fund Trust |
|
246. |
RBC Funds Trust |
|
247. |
Series Portfolios Trust |
|
248. |
Thompson IM Funds, Inc. |
|
249. |
TrimTabs ETF Trust |
|
250. |
Trust for Advised Portfolios |
|
251. |
Barrett Growth Fund, Series of Trust for Professional Managers |
|
252. |
Bright Rock Mid Cap Growth Fund, Series of Trust for Professional Managers |
|
253. |
Bright Rock Quality Large Cap Fund, Series of Trust for Professional Managers |
|
254. |
CrossingBridge Low Duration High Yield Fund, Series of Trust for Professional Managers |
|
255. |
CrossingBridge Responsible Credit Fund, Series of Trust for Professional Managers |
|
256. |
CrossingBridge Ultra-Short Duration Fund, Series of Trust for Professional Managers |
|
257. |
RiverPark Strategic Income Fund, Series of Trust for Professional Managers |
|
258. |
Dearborn Partners Rising Dividend Fund, Series of Trust for Professional Managers |
|
259. |
Jensen Global Quality Growth Fund, Series of Trust for Professional Managers |
|
260. |
Jensen Quality Value Fund, Series of Trust for Professional Managers |
|
261. |
Rockefeller Climate Solutions Fund, Series of Trust for Professional Managers |
|
262. |
Rockefeller US Small Cap Core Fund, Series of Trust for Professional Managers |
|
263. |
Terra Firma US Concentrated Realty Fund, Series of Trust for Professional Managers |
|
264. |
USQ Core Real Estate Fund |
|
265. |
Wall Street EWM Funds Trust |
(a)(2) Vigilant Distributors, LLC serves as principal underwriter for the following investment companies registered under the Investment Company Act of 1940, as amended:
|
1. |
Free Market Fixed Income Fund, Series of The RBB Fund, Inc. |
|
2. |
Free Market International Equity Fund, Series of The RBB Fund, Inc. |
|
3. |
Free Market US Equity Fund, Series of The RBB Fund, Inc. |
|
4. |
Matson Money Fixed Income VI Portfolio, Series of The RBB Fund, Inc. |
|
5. |
Matson Money International Equity VI Portfolio, Series of The RBB Fund, Inc. |
|
6. |
Matson Money US Equity VI Portfolio, Series of The RBB Fund, Inc. |
|
7. |
YCG Funds |
|
8. |
Pemberwick Fund, Series of Manager Directed Portfolios |
|
9. |
Hardman Johnston International Growth Fund, Series of Manager Directed Portfolios |
|
10. |
Modern Capital Tactical Opportunities Fund, of Modern Capital Funds Trust |
|
11. |
Soundwatch Hedged Equity ETF, Series of Advisor Managed Portfolios |
|
12. |
WBI BullBear Value 3000 ETF, Series of Absolute Shares Trust |
|
13. |
WBI BullBear Yield 300 ETF, Series of Absolute Shares Trust |
|
14. |
WBI BullBear Quality 3000 ETF, Series of Absolute Shares Trust |
|
15. |
WBI Power Fact® High Dividend ETF, Series of Absolute Shares Trust |
|
16. |
Founders 100 ETF, Series of Founder Funds Trust |
|
17. |
Prospera Income ETF, Series of Thrive Series Trust |
(b)(1) The following are the Officers and Manager of Quasar, one of the Registrant’s underwriters. Quasar’s main business address is 190 Middle Street, Suite 301, Portland, Maine 04101.
|
Name |
Address |
Position with Underwriter |
Position with Registrant |
|
Teresa Cowan |
190 Middle Street, Suite 301 |
President/Manager |
None |
|
Chris Lanza |
190 Middle Street, Suite 301 |
Vice President |
None |
|
Kate Macchia |
190 Middle Street, Suite 301 |
Vice President |
None |
|
Susan L. LaFond |
190 Middle Street, Suite 301 |
Vice President and Chief Compliance Officer and Treasurer |
None |
|
Weston Sommers |
190 Middle Street, Suite 301 |
Financial and Operations Principal and Chief Financial Officer |
None |
|
Kelly B. Whetstone |
190 Middle Street, Suite 301 |
Secretary |
None |
(b)(2) The following are the Officers of Vigilant Distributors, LLC, one of the Registrant’s underwriters. Vigilant Distributors, LLC’s main business address is Gateway Corporate Center, Suite 216, 223 Wilmington West Chester Pike, Chadds Ford, Pennsylvania 19317.
|
Nam |
Address |
Position with Underwriter |
Position with Registrant |
|
Patrick Chism |
Gateway Corporate Center, Suite 216, |
Chief Executive Officer and Chief Compliance Officer |
None |
|
Gerald Scarpati |
Gateway Corporate Center, Suite 216, |
Chief Financial Officer and Principal Financial Officer |
None |
|
(c) |
Not Applicable |
|
Item 33. |
LOCATION OF ACCOUNTS AND RECORDS |
|
(1) |
Boston Partners Global Investors, Inc., One Beacon Street, Boston, Massachusetts 02108 (records relating to its function as investment adviser). |
|
(2) |
Matson Money, Inc. (formerly Abundance Technologies, Inc.), 5955 Deerfield Blvd., Mason, Ohio 45040 (records relating to its function as investment adviser). |
|
(3) |
Summit Global Investments, LLC, 620 South Main Street, Bountiful, Utah 84010 (records relating to its function as investment adviser). |
|
(4) |
Abbey Capital Limited, 8 St. Stephen’s Green, Dublin 2, Ireland, (records relating to its function as investment adviser). |
|
(5) |
Altair Advisers LLC, 225 West Washington, Suite 2400, Chicago, Illinois 60606 (records relating to its function as investment adviser). |
|
(6) |
Campbell & Company Investment Adviser LLC, 2850 Quarry Lake Drive, Baltimore, Maryland 21209 (records relating to its function as investment adviser). |
|
(7) |
Motley Fool Asset Management, LLC, 2000 Duke Street, Suite 300, Alexandria, Virginia 22314 (records relating to its function as investment adviser). |
|
(8) |
F/m Investments LLC, 900 19th Street, Suite 203, Washington, DC 20006 (records relating to its function as investment adviser). |
|
(9) |
Emerald Mutual Fund Advisers Trust, 3175 Oregon Pike, Leola, Pennsylvania 17540 (records relating to its function as investment adviser). |
|
(10) |
U.S. Bancorp Fund Services, LLC, 615 East Michigan Street, Milwaukee, Wisconsin 53202 (records relating to its function as administrator, transfer agent and dividend disbursing agent). |
|
(11) |
U.S. Bank, N.A., 1555 North Rivercenter Drive, Suite 302, Milwaukee, Wisconsin, 53212 (records relating to its function as custodian). |
|
(12) |
Quasar Distributors, LLC, 190 Middle Street, Suite 301, Portland, ME 04101 (records relating to its function as underwriter). |
|
(13) |
Vigilant Distributors, LLC, Gateway Corporate Center, Suite 216, 223 Wilmington West Chester Pike, Chadds Ford, Pennsylvania 19317 (records relating to its function as underwriter). |
|
Item 34. |
MANAGEMENT SERVICES |
None.
|
Item 35. |
UNDERTAKINGS |
Not applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended (the “1933 Act”), and the Investment Company Act of 1940, as amended, the Registrant certifies that it has duly caused this Post-Effective Amendment to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of Short Hills and State of New Jersey on November 2, 2026.
|
|
THE RBB FUND, INC. |
| |
|
|
|
| |
|
|
By: |
/s/ Steven Plump |
|
|
|
|
Steven Plump |
|
|
|
|
President |
|
Pursuant to the requirements of the 1933 Act, this Amendment to Registrant’s Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
|
SIGNATURE |
|
TITLE |
|
DATE |
|
|
|
|
|
|
|
/s/ Steven Plump |
|
President (Principal Executive Officer) |
|
November 2, 2026 |
|
Steven Plump |
|
|
|
|
|
|
|
|
|
|
|
/s/ James G. Shaw |
|
Chief Financial Officer (Principal Financial and Accounting Officer) |
|
November 2, 2026 |
|
James G. Shaw |
|
|
|
|
|
|
|
|
|
|
|
*Gregory P. Chandler |
|
Director |
|
November 2, 2026 |
|
Gregory P. Chandler |
|
|
|
|
|
|
|
|
|
|
|
*Lisa A. Dolly |
|
Director |
|
November 2, 2026 |
|
Lisa A. Dolly |
|
|
|
|
|
|
|
|
|
|
|
*Nicholas A. Giordano |
|
Director |
|
November 2, 2026 |
|
Nicholas A. Giordano |
|
|
|
|
|
|
|
|
|
|
|
*Arnold M. Reichman |
|
Director |
|
November 2, 2026 |
|
Arnold M. Reichman |
|
|
|
|
|
|
|
|
|
|
|
*Robert Sablowsky |
|
Director |
|
November 2, 2026 |
|
Robert Sablowsky |
|
|
|
|
|
|
|
|
|
|
|
*Brian T. Shea |
|
Director |
|
November 2, 2026 |
|
Brian T. Shea |
|
|
|
|
|
|
|
|
|
|
|
*Martha A. Tirinnanzi |
|
Director |
|
November 2, 2026 |
|
Martha A. Tirinnanzi |
|
|
|
|
|
*By: |
/s/ James G. Shaw |
|
|
James G. Shaw |
| |
|
Attorney-in-Fact |
| |
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Gregory P. Chandler, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Gregory P. Chandler |
|
|
|
Gregory P. Chandler |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Lisa A. Dolly, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw her true and lawful attorneys, to execute in her name, place, and stead, in her capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in her name and on her behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as she might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Lisa A. Dolly |
|
|
|
Lisa A. Dolly |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Nicholas A. Giordano, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Nicholas A. Giordano |
|
|
|
Nicholas A. Giordano |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Arnold M. Reichman, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Arnold M. Reichman |
|
|
|
Arnold M. Reichman |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Robert Sablowsky, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Robert Sablowsky |
|
|
|
Robert Sablowsky |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Brian T. Shea, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw his true and lawful attorneys, to execute in his name, place, and stead, in his capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in his name and on his behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as he might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Brian T. Shea |
|
|
|
Brian T. Shea |
|
THE RBB FUND, INC.
(the “Company”)
THE RBB FUND TRUST
(the “Trust”)
POWER OF ATTORNEY
Know All Men by These Presents, that the undersigned, Martha A. Tirinnanzi, hereby constitutes and appoints Jillian L. Bosmann, Edward Paz, Steven Plump, and James G. Shaw her true and lawful attorneys, to execute in her name, place, and stead, in her capacity as Director/Trustee or officer, or both, of the Company and of the Trust, the Registration Statement and any amendments thereto and all instruments necessary or incidental in connection therewith, and to file the same with the U.S. Securities and Exchange Commission; and said attorneys shall have full power and authority to do and perform in her name and on her behalf, in any and all capacities, every act whatsoever requisite or necessary to be done in the premises, as fully and to all intents and purposes as she might or could do in person, said acts of said attorneys being hereby ratified and approved.
|
DATED: |
July 9, 2025 |
|
|
|
|
|
|
|
/s/ Martha A. Tirinnanzi |
|
|
|
Martha A. Tirinnanzi |
|
|
Exhibit No. |
Description |
|
Consent of Independent Registered Public Accounting Firm of Ernst & Young LLP | |
|
Consent of Independent Registered Public Accounting Firm of Cohen & Company, Ltd. |