OXFORD FINANCIAL GROUP, LTD. LLC
Legal name: OXFORD FINANCIAL GROUP, LTD
CRD #105303 SEC #801-20692 CARMEL, IN 317-843-5678
SEC Registered Private Funds
Total AUM
$19.7B
Discretionary
$9B
Employees
154
Clients
251
Accounts
6,467
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 25, 2025
- Branch Offices
- 6
- LEI
- 254900D7YSI9NJDD0J14
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALCORN, ROBERT, JAMES | I | CHIEF INFORMATION OFFICER | NA | Control |
| ALCORN, ROBERT, JAMES | I | CHIEF INFORMATION OFFICER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| ALERDING, JOSEPH, PHILLIP | I | VICE PRESIDENT, TCO'S CHIEF EXECUTIVE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BARON, KRISTINA, R | I | CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| BENNETT, DEBORA, AMES | I | CORPORATE AND MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBORA, AMES | I | CORPORATE AND MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| BENNETT, DEBORA, AMES | I | CORPORATE AND MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBORA, AMES | I | PARTNER | NA | Control |
| BENNETT, DEBORA, AMES | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| BENNETT, DEBRA | I | MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBRA | I | MANAGING DIRECTOR | NA | Control |
| BENNETT, DEBRA | I | MANAGING DIRECTOR | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| Blum, Jarret, D. | I | CHIEF DEVELOPMENT OFFICER | NA | Control |
| COLLIER, CELESTE, W | I | DIRECTOR | NA | |
| COLLIER, CELESTE, W | I | DIRECTOR | NA | |
| COLLIER, CELESTE, W | I | ASSISTANT DIRECTOR | NA | |
| COLLIER, CELESTE, W | I | ASSISTANT DIRECTOR | NA | |
| COLLIER, CELESTE, W | I | ASSISTANT DIRECTOR | NA | |
| COLLIER, CELESTE, W | I | SENIOR FINANCIAL ADVISOR | NA | |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| COPSEY, BRIAN, D | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR AND CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEAN, TIMOTHY, MAURICE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Dunnivant, Bryan | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EMERY, JENNIFER, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, PHILLIP, RICHARD | I | ASSOCIATE DIRECTOR | NA | |
| EVANS, PHILLIP, RICHARD | I | ASSOCIATE DIRECTOR | NA | |
| Emery, Jennifer, Lynne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER, CLASS B SHAREHOLDER | NA | Control |
| FARLEY, CATHERINE, ELIZABETH | I | CHIEF ADMINISTRATIVE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR | NA | Control |
| FLECK, DANIEL, LEE | I | PARTNER | NA | Control |
| FLECK, DANIEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| FORBECK, GARY, JOHN | I | DIRECTOR | NA | |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| FORD, DANIEL, JOSEPH | I | CORPORATE DIRECTOR | NA | Control |
| Ford, Daniel, Joseph | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GRAHAM, DAVID, ALLEN | I | MANAGING DIRECTOR, MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| GREEN, MARK, MICHAEL | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| HARPSTER, HOWARD, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | |
| HARPSTER, HOWARD, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | |
| HARPSTER, HOWARD, WAYNE | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| HARPSTER, HOWARD, WAYNE | I | VICE PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| HECHT, DAVID, LEE | I | DIRECTOR | NA | |
| HECHT, DAVID, LEE | I | DIRECTOR | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| HECHT, DAVID, LEE | I | DIRECTOR | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR | NA | |
| HECHT, DAVID, LEE | I | SENIOR FINANCIAL ADVISOR | NA | |
| HECHT, DAVID, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| KLEIN, NICHOLAS, STEVEN | I | CORPORATE DIRECTOR | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Krumm, Melissa, Breeze | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LABANT, TERRENCE, MICHAEL | I | CHIEF WEALTH PLANNING OFFICER | NA | Control |
| LAMOTHE, CHRISTOPHER, PAGE | I | PRESIDENT, CORPORATE DIRECTOR AND CHIEF OPERATIONS OFFICER | NA | Control |
| LAMOTHE, CHRISTOPHER, PAGE | I | PRESIDENT, CORPORATE DIRECTOR AND CHIEF OPERATIONS OFFICER | NA | Control |
| LILES, CHARLES, ANDREW | I | ASSISTANT DIRECTOR | NA | |
| LILES, CHARLES, ANDREW | I | ASSISTANT DIRECTOR | NA | |
| LILES, CHARLES, ANDREW | I | ASSISTANT DIRECTOR | NA | |
| LOFLAND, DAVID, REESE | I | DIRECTOR | NA | |
| LOFLAND, DAVID, REESE | I | DIRECTOR | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR | NA | Control |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR | NA | Control |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MCHUGH, MICHAEL, SHANNON | I | ASSOCIATE DIRECTOR | NA | |
| MCHUGH, MICHAEL, SHANNON | I | ASSOCIATE DIRECTOR | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR | NA | Control |
| MCHUGH, MICHAEL, SHANNON | I | ASSOCIATE DIRECTOR | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR | NA | Control |
| MCHUGH, MICHAEL, SHANNON | I | DIRECTOR | NA | |
| MCHUGH, MICHAEL, SHANNON | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MCMILLEN, SUE, A. | I | CHIEF TALENT OFFICER | NA | Control |
| MERSEREAU, KAREN, HOSBEIN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MERSEREAU, KAREN, HOSBEIN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MERSEREAU, KAREN, HOSBEIN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MERSEREAU, KAREN, HOSBEIN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| MICHAEL, LESLIE | I | ASSOCIATE DIRECTOR | NA | |
| MICHAEL, LESLIE | I | ASSOCIATE DIRECTOR | NA | |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD | NA | |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD | NA | |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD | NA | |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD | NA | |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY TO THE BOARD, CLASS B SHAREHOLDER | NA | Control |
| MITCHELL, SUSAN, ELAINE | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, CLASS B SHAREHOLDER | NA | Control |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS | NA | |
| Nogues, Marcos | I | CHIEF INVESTMENT OFFICER | NA | Control |
| Nogues, Marcos | I | CHIEF INVESTMENT OFFICER | NA | Control |
| Nogues, Marcos | I | CHIEF INVESTMENT OFFICER | NA | Control |
| O'SULLIVAN-HALE, BRENDAN | I | SENIOR ANALYST, CLASS B SHAREHOLDER | NA | |
| O'SULLIVAN-HALE, BRENDAN | I | SENIOR ANALYST, CLASS B SHAREHOLDER | NA | |
| O'SULLIVAN-HALE, BRENDAN | I | SENIOR ANALYST, CLASS B SHAREHOLDER | NA | |
| O'SULLIVAN-HALE, BRENDAN | I | SENIOR ANALYST, CLASS B SHAREHOLDER | NA | Control |
| O'SULLIVAN-HALE, BRENDAN | I | SENIOR ANALYST, CLASS B SHAREHOLDER | NA | |
| O'SULLIVAN-HALE, BRENDAN, GR | I | CORPORATE DIRECTOR AND CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| RAMSEY, ROBERT, DALE | I | CHIEF INVESTMENT OFFICER, CO-MANAGING PARTNER, CORPORATE DIRECTOR | NA | Control |
| REIST, PETER, NIELSEN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| REIST, PETER, NIELSEN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| REIST, PETER, NIELSEN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| REIST, PETER, NIELSEN | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | NA | |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| REIST, PETER, NIELSEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| RETTERER, WILLIAM, FIELD | I | MANAGING DIRECTOR | NA | Control |
| RETTERER, WILLIAM, FIELD | I | MANAGING DIRECTOR | NA | Control |
| RETTERER, WILLIAM, FIELD | I | MANAGING DIRECTOR | NA | Control |
| ROSEN, MICHAEL, ALLEN | I | MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER | NA | |
| ROSEN, MICHAEL, ALLEN | I | MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER | NA | |
| ROSEN, MICHAEL, ALLEN | I | MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER | NA | |
| ROSEN, MICHAEL, ALLEN | I | MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER | NA | |
| ROSEN, MICHAEL, ALLEN | I | CORPORATE DIRECTOR AND CLASS B SHAREHOLDER | NA | Control |
| ROSEN, MICHAEL, ALLEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| ROSEN, MICHAEL, ALLEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| ROSEN, MICHAEL, ALLEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| ROSEN, MICHAEL, ALLEN | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Ramsey, Robert, Dale | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Ramsey, Robert, Dale | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Ramsey, Robert, Dale | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| Ramsey, Robert, Dale | I | CHIEF INVESTMENT OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, SENIOR INVESTMENT RESEARCH ANALYST | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, SENIOR INVESTMENT RESEARCH ANALYST | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH, CLASS B SHAREHOLDER | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH, CLASS B SHAREHOLDER | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH, CLASS B SHAREHOLDER | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER | NA | Control |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, SENIOR INVESTMENT RESEARCH ANALYST | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH AND CORPORATE DIRECTOR | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, INVESTMENT RESEARCH | NA | |
| SCHAEFER, ROBERT, LOUIS | I | VICE PRESIDENT, DIRECTOR OF INVESTMENT RESEARCH, CLASS B SHAREHOLDER | NA | |
| SCHLUETER, ELIZABETH, ANN | I | CHIEF FINANCIAL STRATEGIST, MEMBER SENIOR MANAGEMENT | NA | Control |
| SCHLUETER, ELIZABETH, ANN | I | CHIEF FINANCIAL STRATEGIST, MEMBER SENIOR MANAGEMENT | NA | Control |
| SCHLUETER, ELIZABETH, ANN | I | CHIEF FINANCIAL STRATEGIST, MEMBER SENIOR MANAGEMENT | NA | Control |
| SCHLUETER, ELIZABETH, ANN | I | CHIEF FINANCIAL STRATEGIST, MEMBER SENIOR MANAGEMENT | NA | Control |
| SCHLUETER, ELIZABETH, ANN | I | CHIEF FINANCIAL STRATEGIST, MEMBER SENIOR MANAGEMENT | NA | Control |
| SEAVER, RICHARD, D | I | CLIENT SERVICE MANAGER | NA | |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| SIMMONS, JOHN, PAUL | I | CHIEF PRACTICE DEVELOPMENT OFFICER, CLASS B SHAREHOLDER | NA | Control |
| STROMAN, JEFFERY, HAL | I | CHIEF INVESTMENT OFFICER AND MEMBER SENIOR MANAGEMENT | NA | Control |
| STROMAN, JEFFERY, HAL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE DIRECTOR | NA | Control |
| TANNER, CAROLE, JOANN | I | EXECUTIVE VICE PRESIDENT, CHIEF STRATEGY OFFICER | NA | Control |
| TANNER, CAROLE, JOANN | I | EXECUTIVE VICE PRESIDENT, CHIEF STRATEGY OFFICER | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | NA | Control |
| TROTT, JOHN, CHARLES | I | ASSOCIATE DIRECTOR | NA | |
| TROTT, JOHN, CHARLES | I | ASSOCIATE DIRECTOR | NA | |
| TWITCHELL, ROBERT, MEAD | I | CORPORATE DIRECTOR AND CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHAIR SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WALKER, LISA, ANN | I | CHIEF OPERATIONS & RISK OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B SHAREHOLDER | NA | Control |
| WORTMAN, JOHN, THOMAS | I | ASSISTANT DIRECTOR | NA | |
| WORTMAN, JOHN, THOMAS | I | ASSISTANT DIRECTOR | NA | |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| OXFORD FINANCIAL GROUP HOLDINGS, LLC | DE | MEMBER | E | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | PRESIDENT, CORPORATE DIRECTOR AND MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | PRESIDENT, CORPORATE DIRECTOR AND MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND PARTNER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, AND CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| THOMASSON, JEFFREY, HUGH | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER | D | Control |
| SEARS, MICHAEL, LEE | I | CORPORATE AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | CORPORATE AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | VICE PRESIDENT, CORPORATE DIRECTOR, SECRETARY AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | VICE PRESIDENT, CORPORATE DIRECTOR, SECRETARY AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | CORPORATE AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | VICE PRESIDENT, CORPORATE DIRECTOR, SECRETARY AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | CORPORATE AND MANAGING DIRECTOR | C | Control |
| SEARS, MICHAEL, LEE | I | VICE PRESIDENT, CORPORATE DIRECTOR, SECRETARY AND PARTNER | C | Control |
| SEARS, MICHAEL, LEE | I | MANAGING DIRECTOR, CLASS B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR | B | Control |
| STROMAN, JEFFERY, HAL | I | VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND PARTNER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| STROMAN, JEFFERY, HAL | I | CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER | B | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| BARON, KRISTINA, R | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
| DAVIS, CHARLES, RICHARD | I | CORPORATE DIRECTOR, CLASS B SHAREHOLDER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE BRYN MAWR TRUST COMPANY OF DELAWARE | DE | THE THOMASSON DYNASTY TRUST II | F | Control |
| OXFORD FINANCIAL GROUP PARENT, LLC | DE | OXFORD FINANCIAL GROUP HOLDINGS, LLC | E | Control |
| OXFORD FINANCIAL GROUP PARENT, LLC | DE | OXFORD FINANCIAL GROUP HOLDINGS, LLC | E | Control |
| OXFORD FINANCIAL GROUP PARENT, LLC | DE | OXFORD FINANCIAL GROUP HOLDINGS, LLC | E | Control |
| OXFORD FINANCIAL GROUP PARENT, LLC | DE | OXFORD FINANCIAL GROUP HOLDINGS, LLC | E | Control |
| THE THOMASSON DYNASTY TRUST II | DE | KNIGHTSBRIDGE JT DYNASTY II, LLC | E | Control |
| KNIGHTSBRIDGE JT DYNASTY II, LLC | DE | OXFORD FINANCIAL GROUP PARENT, LLC | C | Control |
| THOMASSON, JEFFREY, HUGH | I | OXFORD FINANCIAL GROUP PARENT, LLC | C | Control |
| THOMASSON, JEFFREY, HUGH | I | OXFORD FINANCIAL GROUP PARENT, LLC | C | Control |
| THOMASSON, JEFFREY, HUGH | I | OXFORD FINANCIAL GROUP PARENT, LLC | C | Control |
Registrations
Federal
IA
Jun 25, 2025 REGISTERED
Notice Filings (37)
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