Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (17 CFR 239.24 and 274.5), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of1940 and rule 30bl-4 thereunder (17 CFR 270.30bl-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The 0MB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Form N-PX is to be used for reports pursuant to Section 30 of the Investment Company Act of1940 (the "Act") and Rule 30bl-4 under the Act (17 CFR 270.30b1-4) by all registered management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file their complete proxy voting record not later than August 31 of each year for the most recent twelve-month period ended June 30.
The General Rules and Regulations under the Act contain certain general requirements that are applicable to reporting on any form under the Act. These general requirements should be carefully read and observed in the preparation and filing of reports on this form, except that any provision in the form or in these instructions shall be controlling.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
Registrant: AdvisorOne Funds | | | | | | | | | Item 1, Exhibit A |
Investment Company Act file number: 811-08037 | | | | | | | | | |
Reporting Period: | July 1, 2021 - June 30, 2022 | | | | | | | | |
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | (j) Fund Name |
| Exchange Traded Concepts Trust | YMLP | 301505640 | 24-Jan-22 | Elect Linda Petrone | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Aggressive Eqty |
| Exchange Traded Concepts Trust | YMLP | 301505640 | 24-Jan-22 | Elect Stuart Strauss | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Aggressive Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Cheryl K. Beebe | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Lawrence Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect John F. Killian | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Steven D. Krichmar | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Linda A. Lang | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Cheryl K. Beebe | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Lawrence Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect John F. Killian | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Steven D. Krichmar | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Linda A. Lang | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Cheryl K. Beebe | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Lawrence Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect John F. Killian | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Steven D. Krichmar | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Linda A. Lang | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Cheryl K. Beebe | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Lawrence Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect John F. Killian | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Steven D. Krichmar | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Linda A. Lang | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Cheryl K. Beebe | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Lawrence Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect John F. Killian | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Steven D. Krichmar | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| Goldman Sachs ETF Trust | GSIE | 381430206 | 3-Dec-21 | Elect Linda A. Lang | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Shelter |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect John F. Finn | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Stephen P. Fisher | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Gary L. French | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Kathleen M. Gallagher | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert J. Grassi | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Frankie D. Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Raymond Kanner | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Thomas P. Lemke | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Lawrence R. Maffia | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Mary E. Martinez | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Marilyn McCoy | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert A. Oden, Jr. | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Marian U. Pardo | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Emily Youssouf | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert F. Deutsch | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Nina O. Shenker | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect John F. Finn | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Stephen P. Fisher | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Gary L. French | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Kathleen M. Gallagher | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert J. Grassi | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Frankie D. Hughes | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Raymond Kanner | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Thomas P. Lemke | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Lawrence R. Maffia | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Mary E. Martinez | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Marilyn McCoy | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert A. Oden, Jr. | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Marian U. Pardo | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Emily Youssouf | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Robert F. Deutsch | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
| J.P.Morgan Investment Management Inc. | JPGE | 46641Q191 | 27-Oct-21 | Elect Nina O. Shenker | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized