Financial Disclosure Details - OGE Form 278e (04/07/2023)

Positions Held Outside United States Government

#
Organization
City
Position
To
1
Open Innovation LLC (inactive)
McLean, Virginia
Principal/Owner
8/2022

Employment Assets & Income and Retirement Accounts

#
Description
Value
Income Type
Income Amount
1
IRA
1.1
Schwab US REIT ETF (SCHH)
$15,001 - $50,000
None (or less than $201)
1.2
iShares Gold Trust (IAU)
$15,001 - $50,000
None (or less than $201)
1.3
SchwabEmerging Markets Equity ETF (SCHE)
$15,001 - $50,000
None (or less than $201)
1.4
Schwab FundamentalEmerging Markets Large Company Index ETF (FNDE)
$50,001 - $100,000
None (or less than $201)
1.5
Schwab Fundamental International Large Company Index ETF (FNDF)
$50,001 - $100,000
None (or less than $201)
1.6
Schwab Fundamental International Small Company Index ETF (FNDC)
$15,001 - $50,000
None (or less than $201)
1.7
Schwab Fundamental US Large Company Index ETF (FNDX)
$50,001 - $100,000
None (or less than $201)
1.8
Schwab Fundamental US Small Company Index ETF (FNDA)
$50,001 - $100,000
None (or less than $201)
1.9
SCHWAB INTERMEDIATE TERM US TRS ETF
$15,001 - $50,000
None (or less than $201)

Employment Agreements and Arrangements

#
Employer Or Party
City
Status And Terms
Date
1
Pittsburgh, Pennsylvania
I will continue to participate in this defined contribution plan. The plan sponsor does not make further contributions.
12/2021
2
McLean, Virginia
I concluded operations prior to my appointment and closed this entity on 8/2022
8/2022

Sources of Compensation Exceeding $5,000 in a Year

#
Source
City
Duties
Nothing reported in this section

Spouse's Employment Assets & Income and Retirement Accounts

#
Description
Value
Type
Amount
1
Montgomery County Public Schools (MCPS)
salary
2
MCPS Fidelity 403(b) Retirement Account
2.1
Vanguard Institutional Target Retirement 2025 Fund Institutional Class Shares (VRIVX)
$100,001 - $250,000
None (or less than $201)
3
MCSP 403(B) TIAA-CREF Lifecycle 2030 Fund Institutional Class Shares (TCRIX)
$50,001 - $100,000
None (or less than $201)
4
Montgomery County Public School Teacher retirement benefits (defined benefit plan) (value not readily ascertainable)
None (or less than $201)
5
IRA
5.1
The Growth Fund of America
$1,001 - $15,000
None (or less than $201)
5.2
Columbia Select Mid Cap Value Fund Class A
$1,001 - $15,000
None (or less than $201)
5.3
Delaware Ivy Small Cap Growth Fund Class A
$1,001 - $15,000
None (or less than $201)
5.4
Delaware Small Cap Value Fund Class A
$1,001 - $15,000
None (or less than $201)

Other Assets and Income

#
Description
Value
Type
Amount
1
USAA 529 Plan by Victory Capital (Nevada)
1.1
Age-Based Option 12-13: Moderately Conservative Portfolio
$15,001 - $50,000
None (or less than $201)
2
USAA 529 Plan by Victory Capital (Nevada)
2.1
Age-Based Option 12-13: Moderately Conservative Portfolio
$15,001 - $50,000
None (or less than $201)
3
US bank account (cash)
$100,001 - $250,000
Interest
None (or less than $201)
4
Brokerage
4.1
MainStay Balanced Fund Class A Shares (MBNAX)
$15,001 - $50,000
None (or less than $201)
4.2
Mainstay Epoch US Equity Yield Fund Class A Shares (EPLPX)
$1,001 - $15,000
None (or less than $201)

Transactions

#
Description
Type
Date
Amount
1
USAA Cornerstone Moderately Aggressive Fund (USCRX)
Sale
01/05/2022
$1,001 - $15,000

Liabilities

#
Creditor
Amount
Incurred
Term
1
Charles Schwab
$500,001 - $1,000,000
2021
30 year-fixed

Gifts and Travel Reimbursements

#
Source Name
City
Description
Value
Nothing reported in this section

Endnotes

Section
#
Description
3
2
Dissolved subsequent to filing.
5
5
MEMORANDUM FOR THE RECORD
Regarding:
Status: Inadvertently omitted in past filings
Date:
It has come to my attention that Dr. Nickolas Guertin did not provide the details of his spouse’s recent IRA in his last two financial disclosure filings. interest have arisen during this period.
The Growth Fund of America
Columbia Select Mid Cap Value Fund Class A
Delaware Ivy Small Cap Growth Fund Class A
Delaware Small Cap Value Fund Class A

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