THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY
CRD #105370 SEC #801-8809 MINNEAPOLIS, MN [612] 870-8800
SEC Registered Private Funds
Total AUM
$30.9B
Discretionary
$25.8B
Employees
45
Clients
--
Accounts
172
Firm Details
- Organization Type
- Corporation
- State of Formation
- Minnesota
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 18, 2013
- Branch Offices
- --
- LEI
- N/A
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | EVP, SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR | NA | Control |
| ABOOD, THOMAS, JOSEPH | I | EVP, SECRETARY, DIRECTOR | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | NA | Control |
| KRAUT, GERALD, ANTHONY | I | DIRECTOR | NA | Control |
| LEE, THOMAS | I | PORTFOLIO MANAGER | NA | Control |
| LEE, THOMAS | I | PORTFOLIO MANAGER | NA | Control |
| LEE, THOMAS, BERNARD | I | PORTFOLIO MANAGER | NA | Control |
| LEE, THOMAS, BERNARD | I | PORTFOLIO MANAGER | NA | Control |
| LEE, THOMAS, BERNARD | I | PORTFOLIO MANAGER | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| SANDBERG, MICHELLE, MARIE | I | TREASURER, DIRECTOR | NA | Control |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES OF ULTIMATE PARENT | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES OF ADMINISTRATOR | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES OF ADMINISTRATOR | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES OF ADMINISTRATOR | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES OF ULTIMATE PARENT | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE AND HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | |
| ZIERMANN, PAMELA, KAY REINITZ | I | SR VICE PRESIDENT,COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | |
| DOUGHERTY HOLDINGS LLC | DE | OWNER OF APPLICANT | E | Control |
| DOUGHERTY HOLDINGS LLC | DE | OWNER OF APPLICANT | E | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | D | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | CHAIR, DIRECTOR & MEMBER OF ULTIMATE PARENT | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | DIRECTOR | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | CHAIR, DIRECTOR & MEMBER OF ULTIMATE PARENT | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| DOUGHERTY, MICHAEL, EMMETT | I | SHAREHOLDER | C | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| ABOOD, THOMAS, JOSEPH | I | SECRETARY, DIRECTOR, CHAIRMAN | B | Control |
| GERALD A. KRAUT, TRUSTEE OF THE GERALD A. KRAUT QUALIFIED SUBCHAPTER S TRUST | DE | SHAREHOLDER | B | Control |
| GERALD A. KRAUT, TRUSTEE OF THE GERALD A. KRAUT QUALIFIED SUBCHAPTER S TRUST | DE | SHAREHOLDER | B | Control |
| GERALD A. KRAUT, TRUSTEE OF THE GERALD A. KRAUT QUALIFIED SUBCHAPTER S TRUST | DE | SHAREHOLDER | B | Control |
| GERALD A. KRAUT, TRUSTEE OF THE GERALD A. KRAUT QUALIFIED SUBCHAPTER S TRUST | DE | SHAREHOLDER | B | Control |
| GERALD A. KRAUT, TRUSTEE OF THE GERALD A. KRAUT QUALIFIED SUBCHAPTER S TRUST | DE | SHAREHOLDER | B | Control |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KATHLEEN A. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| KRAUT, GERALD, ANTHONY | I | EVP, BOARD CHAIR, DIRECTOR | B | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| KRAUT, GERALD, ANTHONY | I | EVP, BOARD CHAIR, DIRECTOR | B | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| KRAUT, GERALD, ANTHONY | I | SHAREHOLDER | B | Control |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| MICHAEL E. DOUGHERTY IRREVOCABLE TRUST AGREEMENT DATED DECEMBER 20TH, 2010 | DE | NON-VOTING SHAREHOLDER TRUST | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, JAMES, OROURKE | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, ROBERT, CARL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| POHLAD, WILLIAM, MICHAEL | I | SHAREHOLDER | B | |
| BALLSRUD, RICHARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | PRINCIPAL, EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| BALLSRUD, RICHARD, EDWARD | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| CHAFFEE, ORISON, YOUNG | I | MANAGING PRINCIPAL, PRESIDENT | A | Control |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| DOUGHERTY, KATHLEEN, ANNE | I | SHAREHOLDER | A | |
| HANSEN, JACK | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | A | Control |
| HANSEN, JACK | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | EVP,CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| HANSEN, JACK, LEGARE | I | PRINCIPAL, EVP, CHIEF INVESTMENT OFFICER AND DIRECTOR | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRINCIPAL | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRINCIPAL, DIRECTOR OF OPERATIONS | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRINCIPAL, DIRECTOR OF OPERATIONS | A | Control |
| JANOUSEK, ROSEMARY | I | PRINCIPAL, OPERATIONS CONSULTANT | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRESIDENT | A | Control |
| JANOUSEK, ROSEMARY | I | PRINCIPAL, OPERATIONS CONSULTANT | A | Control |
| LEE, THOMAS, BERNARD | I | PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
| LEE, THOMAS, BERNARD | I | PRINCIPAL, SENIOR PORTFOLIO MANAGER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DOUGHERTY FINANCIAL GROUP LLC | DE | DOUGHERTY HOLDINGS LLC (DH) | E | Control |
| DOUGHERTY FINANCIAL GROUP LLC | DE | DOUGHERTY HOLDINGS LLC (DH) | E | Control |
Registrations
Federal
IA
Jan 18, 2013 REGISTERED
Notice Filings (13)
CA CT DC IL IN MN MO NC NY PA TX VA WI
Address
3600 MINNESOTA DRIVESUITE 325
MINNEAPOLIS, MN 55435
United States
Phone: [612] 870-8800