LEGEND ADVISORY, LLC
CRD #104761 SEC #801-13887 PALM BEACH GARDENS, FL (866) 774-8671
SEC Registered Disclosures
Total AUM
$1.9B
Discretionary
$1.3B
Employees
303
Clients
0
Accounts
26,328
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2019
- Branch Offices
- 121
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALLEN, MASON, LURAY | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| Arena, Anna, C | I | TREASURER | NA | Control |
| Arena, Anna, C | I | TREASURER | NA | Control |
| Arena, Anna, C | I | TREASURER | NA | Control |
| Arena, Anna, C | I | TREASURER | NA | Control |
| Arena, Anna, Chechersky | I | TREASURER, CHIEF FINANCIAL OFFICER | NA | Control |
| Arena, Anna, Chechersky | I | TREASURER, CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEAU, CATHERINE, MCCORMACK | I | DIRECTOR | NA | Control |
| BONNEAU, CATHERINE, MCCORMACK | I | DIRECTOR | NA | Control |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BUTCH, THOMAS, WILLIAM | I | DIRECTOR | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/SECRETARY | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/GENERAL COUNSEL | NA | Control |
| CARLSON, DANIEL, WILLIAM | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/TREASURER/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| FERRIS, GLENN, THOMAS | I | VICE PRESIDENT/CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | MANAGER | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| GINGRICH, MIRALDA | I | VICE PRESIDENT | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | COMPLIANCE OFFICER | NA | |
| HALVOSA, JAMES, JEFFREY | I | COMPLIANCE OFFICER | NA | |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | COMPLIANCE OFFICER | NA | |
| HALVOSA, JAMES, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HALVOSA, JAMES, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVOSA, JAMES, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HECHLER, ROBERT, LEE | I | DIRECTOR | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| JOHNSTON, JAMES, JOSEPH | I | TREASURER, CONTROLLER | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | SENIOR VICE PRESIDENT | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CIO | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER, DIRECTOR | NA | Control |
| MEHROTRA, SHASHI | I | EXECUTIVE VICE PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF EXECUTIVE OFFICER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | PRESIDENT/ CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF EXECUTIVE OFFICER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF EXECUTIVE OFFICER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MEHROTRA, SHASHI | I | CHIEF INVESTMENT OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MONCHICK, ARIANA, NICOLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PATTERSON, DEBRA, ANN | I | SECRETARY | NA | |
| PROVINES, MICHAEL, JACK | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| RUDNICK, REGINA, MARY | I | SENIOR VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| SPINELLO, MARK, JOSEPH | I | PRESIDENT/CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| STROHM, MICHAEL, DURWOOD | I | DIRECTOR | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| WARD, KENNETH, JAMES | I | TREASURER | NA | Control |
| WARD, KENNETH, JAMES | I | TREASURER | NA | Control |
| WARD, KENNETH, JAMES | I | TREASURER | NA | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, L.L.C. | DE | DIRECT OWNER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
| LEGEND GROUP HOLDINGS, LLC | DE | MEMBER/SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS, INC. | DE | LEGEND GROUP HOLDINGS, INC. | E | Control |
| FUND III UGP LLC | DE | LOVELL MINNICK EQUITY PARTNERS III LP | E | Control |
| FUND III UGP LLC | DE | LOVELL MINNICK EQUITY PARTNERS III LP | E | Control |
| FUND III UGP LLC | DE | LOVELL MINNICK EQUITY PARTNERS III LP | E | Control |
| FUND III UGP LLC | DE | LOVELL MINNICK EQUITY PARTNERS III LP | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | LEGEND GROUP HOLDINGS, LLC | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP | DE | LOVELL MINNICK EQUITY PARTNERS III LP AND LOVELL MINNICK EQUITY PARTNERS III-A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP | DE | LOVELL MINNICK EQUITY PARTNERS III LP AND LOVELL MINNICK EQUITY PARTNERS III-A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP | DE | LOVELL MINNICK EQUITY PARTNERS III LP AND LOVELL MINNICK EQUITY PARTNERS III-A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP | DE | LOVELL MINNICK EQUITY PARTNERS III LP AND LOVELL MINNICK EQUITY PARTNERS III-A | E | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC | DE | FUND III UGP LLC | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS, INC. | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| WADDELL AND REED FINANCIAL, INC. | DE | LEGEND ADVISORY CORPORATION | E | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A LP | DE | FIRST ALLIED HOLDINGS, INC. | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A LP | DE | FIRST ALLIED HOLDINGS, INC. | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A LP | DE | FIRST ALLIED HOLDINGS, INC. | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A LP | DE | FIRST ALLIED HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Mar 29, 2019 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
4600 EAST PARK DRIVESUITE 300
PALM BEACH GARDENS, FL 33410-4258
United States
Phone: (866) 774-8671