TRAIN, BABCOCK ADVISORS LLC
CRD #106018 SEC #801-10571 NEW YORK, NY 212-451-3400
SEC Registered
Total AUM
$434.1M
Discretionary
$426.2M
Employees
9
Clients
251
Accounts
558
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 25, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| COLLINS, ISABEL | I | MEMBER | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| DICK, ANTHONY | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| FREEMAN, NEAL, B. | I | CHAIRMAN, BOARD OF ADVISERS | NA | |
| HOFBAUER, PETER, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hoffman, Geraldine | I | MANAGING DIRECTOR | NA | Control |
| Hoffman, Geraldine | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, MANAGING DIRECTOR | NA | Control |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| MCGLINN, TIMOTHY, JOSEPH | I | MEMBER, SENIOR RESEARCH ANALYST | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | NA | |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| TEVLETIDIS, ARTHUR, C | I | CHIEF OPERATING OFFICER | NA | Control |
| TEVLETIDIS, ARTHUR, C | I | CHIEF COMPLIANCE OFFICER | NA | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | D | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | CO-MANAGING MEMBER, MANAGING DIRECTOR | C | Control |
| ROGICKI, JOHN, HENRY | I | CHIEF COMPLIANCE OFFICER | C | Control |
| ROGICKI, JOHN, HENRY | I | MEMBER | C | |
| ROGICKI, JOHN, HENRY | I | MEMBER | C | |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER, CHIEF EXECUTIVE OFFICER, PRESIDENT | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | CHAIRMAN | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| BABCOCK, HENRY, DENISON | I | MEMBER | B | Control |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | DE | MEMBER | B | |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF OPERATING OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, | B | Control |
| KEENAN, BRIAN, JOHN | I | MEMBER, CHIEF EXECUTIVE OFFICER | B | Control |
| KEENAN, BRIAN, JOHN | I | CO-MANAGING MEMBER, | B | Control |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| TRAIN, JOHN | I | MEMBER | B | |
| BABCOCK, HENRY, DENISON | I | MEMBER, CHIEF EXECUTIVE OFFICER, PRESIDENT | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| RAVIOL, PAMELA, LEE WHITE | I | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | A | Control |
| ROGICKI, JOHN | I | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| TK INTERNATIONAL LLC | DE | CONCORD INTERNATIONAL HOLDINGS, L.P. | F | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP, L.P. | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| YOUNES, MOHAMED, SALEH | I | T.K. INTERNATIONAL CORPORATION | E | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| T.K. INTERNATIONAL CORPORATION | DE | T.K. INTERNATIONAL LLC | D | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| CONCORD INTERNATIONAL HOLDINGS, L.P. | DE | CONCORD INTERNATIONAL INVESTMENT GROUP | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| T.K. CORPORATION | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
| TK INTERNATIONAL, LLC | DE | CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. | C | Control |
Registrations
Federal
IA
Apr 25, 2017 REGISTERED
Notice Filings (36)
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Address
757 THIRD AVENUE27TH FLOOR
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Phone: 212-451-3400