AVANTAX PLANNING PARTNERS, INC.
CRD #106237 SEC #801-50939 DUBUQUE, IA 563-582-2855
SEC Registered
Total AUM
$6.9B
Discretionary
$6.9B
Employees
254
Clients
--
Accounts
13,679
Firm Details
- Organization Type
- Corporation
- State of Formation
- Iowa
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 16, 2025
- Branch Offices
- 173
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| ALLEN, JASON, JEFFREY | I | VICE PRESIDENT | NA | |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | VICE PRESIDENT | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | VICE PRESIDENT | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Bruder, Ann, J | I | BOARD MEMBER | NA | Control |
| Budevich, Serge | I | VICE PRESIDENT & TAX OFFICER | NA | Control |
| COSE, BRIAN, DAVID | I | DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | EVP/NATIONAL SALES MANAGER | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | SVP/DIRECTOR | NA | Control |
| COSE, BRIAN, DAVID | I | EVP/NATIONAL SALES MANAGER | NA | Control |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| COSE, BRIAN, DAVID | I | CHIEF CLIENT DEVELOPMENT OFFICER | NA | |
| Carr, Jeremy, Scott | I | ASST. SECRETARY | NA | Control |
| Carr, Jeremy, Scott | I | ASST. SECRETARY | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER/VICE PRESIDENT | NA | Control |
| Chaffin, Gary, Lynn | I | TAX OFFICER/VICE PRESIDENT | NA | Control |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DAUGHETEE, JENNIFER, LYNN | I | TREASURER/DIRECTOR | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VICE PRESIDENT | NA | |
| DEMENT, KEVIN, PAUL | I | VICE PRESIDENT | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VICE PRESIDENT | NA | |
| DEMENT, KEVIN, PAUL | I | VP | NA | |
| DEMENT, KEVIN, PAUL | I | VICE PRESIDENT | NA | |
| DEMENT, KEVIN, PAUL | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | Control |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | Control |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | Control |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | Control |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | Control |
| GOK, LISA, ANNE | I | CO-SECRETARY | NA | Control |
| GOK, LISA, ANNE | I | CO-SECRETARY | NA | Control |
| GOK, LISA, ANNE | I | CO-SECRETARY | NA | Control |
| GOK, LISA, ANNE | I | CO-SECRETARY | NA | Control |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VP, CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| GRUHL, IVAN, PAUL | I | VICE PRESIDENT/CHIEF INVESTMENT OFFICER | NA | |
| Gok, Lisa, Anne | I | DIRECTOR/CO-SECRETARY | NA | Control |
| Gok, Lisa, Anne | I | DIRECTOR/CO-SECRETARY | NA | Control |
| Gok, Lisa, Anne | I | DIRECTOR/SECRETARY | NA | Control |
| Gooley, Thomas | I | DIRECTOR | NA | Control |
| Gooley, Thomas | I | DIRECTOR | NA | Control |
| Gooley, Thomas | I | DIRECTOR | NA | Control |
| Gooley, Thomas | I | DIRECTOR | NA | Control |
| Gooley, Thomas | I | DIRECTOR | NA | Control |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HAUBER, RYAN, JOHN | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HOFFMANN, NATALIE | I | DIRECTOR | NA | |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | CHAIRMAN OF THE BOARD | NA | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | DIRECTOR | NA | |
| HONKAMP, ARNOLD, NICHOLAS | I | DIRECTOR | NA | |
| HOWARD, RICHARD, KENNETH | I | VICE-PRESIDENT | NA | |
| HOWARD, RICHARD, KENNETH | I | VICE-PRESIDENT | NA | |
| HOWARD, RICHARD, KENNETH | I | VICE-PRESIDENT | NA | |
| HOWARD, RICHARD, KENNETH | I | VICE-PRESIDENT | NA | |
| HOWARD, RICHARD, KENNETH | I | VICE-PRESIDENT | NA | |
| Hanau, Jennifer, Leigh | I | VICE PRESIDENT | NA | Control |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KOBES, CHRISTOPHER, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LABONNE, JANICE, YOLAINE | I | COMPLIANCE OFFICER | NA | |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEE, WINNIE, AI-LING | I | ASST. SECRETARY | NA | Control |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LEIBFRIED, DALE | I | DIRECTOR | NA | |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LONER, MELISSA, RILYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT/BOARD MEMBER | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | VICE PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | VICE PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | VICE PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | VICE PRESIDENT | NA | Control |
| Mackay, Todd, Christopher | I | VICE PRESIDENT | NA | Control |
| Molnar, Michael, James | I | VICE PRESIDENT | NA | Control |
| Molnar, Michael, James | I | VICE PRESIDENT | NA | Control |
| Molnar, Michael, James | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | VICE PRESIDENT | NA | |
| PAGANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| PAGANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| PAGANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| PAGANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| PAGANO, MICHAEL, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VICE PRESIDENT | NA | |
| READY, JENNIFER, ANN | I | VICE PRESIDENT | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VICE PRESIDENT | NA | |
| READY, JENNIFER, ANN | I | VP | NA | |
| READY, JENNIFER, ANN | I | VICE PRESIDENT | NA | |
| READY, JENNIFER, ANN | I | VICE PRESIDENT | NA | |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | SECRETARY/TREASURER | NA | Control |
| ROD, CHRIS, G | I | CO-TREASURER | NA | Control |
| ROD, CHRIS, G | I | CO-TREASURER | NA | Control |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROGERS, DOUG | I | DIRECTOR | NA | |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| ROSALEZ, LOUIE, ALAN | I | SR. VICE PRESIDENT | NA | Control |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | ASST VP | NA | |
| RUSS, BRIAN, MICHAEL | I | ASST VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VICE PRESIDENT | NA | |
| RUSS, BRIAN, MICHAEL | I | VICE PRESIDENT | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VICE PRESIDENT | NA | |
| RUSS, BRIAN, MICHAEL | I | VP | NA | |
| RUSS, BRIAN, MICHAEL | I | VICE PRESIDENT | NA | |
| RUSS, BRIAN, MICHAEL | I | VICE PRESIDENT | NA | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | NA | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | NA | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | NA | |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | CO-TREASURER | NA | Control |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| SIEMONSMA, JAMES, PAUL | I | SVP, DIRECTOR | NA | |
| Shores, Allan, Keith | I | TREASURER | NA | Control |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMAS, KATIE, JO | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| THOMS, JON | I | DIRECTOR | NA | |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Van Havermaat, David, James | I | ASST. SECRETARY | NA | Control |
| Vays, Tamas | I | ASST. SECRETARY | NA | Control |
| Vays, Tamas | I | ASST. SECRETARY | NA | Control |
| Vays, Tamas | I | ASST. SECRETARY | NA | Control |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WALLOCH, SCOTT, GLEN | I | DIRECTOR | NA | |
| WATTS, ANDREW, DAVID | I | PRESIDENT | NA | Control |
| WATTS, ANDREW, DAVID | I | PRESIDENT | NA | Control |
| WATTS, ANDREW, DAVID | I | PRESIDENT | NA | Control |
| WATTS, ANDREW, DAVID | I | PRESIDENT | NA | Control |
| WATTS, ANDREW, DAVID | I | PRESIDENT | NA | Control |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| WELBES, MICHAEL, PETER | I | DIRECTOR | NA | |
| AVANTAX WM HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| SPIRIT ACQUISITIONS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | SHAREHOLDER / TREASURER | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| BURBACH, GREGORY, CARL | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | SHAREHOLDER | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HELLE, RONALD, FRANCIS | I | DIRECTOR | B | |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / TREASURER | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / TREASURER | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| HONKAMP, ARNOLD, NICHOLAS | I | SHAREHOLDER / PRESIDENT | B | Control |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | SHAREHOLDER | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| MCQUILLEN, ROBERT, REYNOLD | I | DIRECTOR | B | |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | B | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | B | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | B | Control |
| APPEL, JOHN, ROBERT | I | PRESIDENT | A | Control |
| APPEL, JOHN, ROBERT | I | PRESIDENT | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| COSE, BRIAN, DAVID | I | SECRETARY, EVP/NATIONAL SALES MANAGER, DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | A | Control |
| DARRAH, JOHN, ROBERT | I | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO | A | Control |
| DARRAH, JOHN, ROBERT | I | VICE PRESIDENT, INVESTMENTS & COMPLIANCE / SECRETARY | A | Control |
| DARRAH, JOHN, ROBERT | I | VICE PRESIDENT, INVESTMENTS & COMPLIANCE / SECRETARY | A | Control |
| DARRAH, JOHN, ROBERT | I | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO | A | Control |
| DARRAH, JOHN, ROBERT | I | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO | A | Control |
| DARRAH, JOHN, ROBERT | I | VICE PRESIDENT, INVESTMENTS & COMPLIANCE / SECRETARY | A | Control |
| DARRAH, JOHN, ROBERT | I | VICE PRESIDENT / CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | PRESIDENT/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| DARRAH, JOHN, ROBERT | I | CHAIRMAN/CEO/DIRECTOR | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT / SECRETARY | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT / SECRETARY | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT / SECRETARY | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT / SECRETARY | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT | A | Control |
| HERRIG, JAMES, WILFRED | I | VICE PRESIDENT / SECRETARY | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| HERRIG, JAMES, WILFRED | I | SECRETARY / CHIEF COMPLIANCE OFFICER/DIRECTOR/EVP | A | Control |
| KRUEGER, ALAN, WILLIAM | I | SHAREHOLDER | A | |
| KRUEGER, ALAN, WILLIAM | I | SHAREHOLDER | A | |
| KRUEGER, ALAN, WILLIAM | I | SHAREHOLDER | A | |
| KRUEGER, ALAN, WILLIAM | I | SHAREHOLDER | A | |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT, NEW BUSINESS DEVELOPMENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT, NEW BUSINESS DEVELOPMENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT, NEW BUSINESS DEVELOPMENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT, NEW BUSINESS DEVELOPMENT | A | Control |
| LINES, ROY, CLAYTON | I | VICE PRESIDENT, NEW BUSINESS DEVELOPMENT | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | VICE PRESIDENT, INVESTMENT MANAGEMENT | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | VICE PRESIDENT, INVESTMENT MANAGEMENT | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | VICE PRESIDENT, INVESTMENT MANAGEMENT | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| MCCORKINDALE, ANN, SEXTON | I | CHIEF INVESTMENT OFFICER/DIRECTOR/EVP | A | Control |
| ROSALEZ, LOUIE, ALAN | I | VICE PRESIDENT, INSURANCE OPERATIONS | A | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | A | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | A | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | A | Control |
| ROSALEZ, LOUIE, ALAN | I | CHIEF MARKETING OFFICER | A | Control |
| ROSALEZ, LOUIE, ALAN | I | VICE PRESIDENT, INSURANCE OPERATIONS | A | Control |
| ROSALEZ, LOUIE, ALAN | I | VICE PRESIDENT, INSURANCE OPERATIONS | A | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | A | Control |
| ROSALEZ, LOUIE, ALAN | I | PRESIDENT/DIRECTOR | A | Control |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A | |
| SCHMITT, KEVIN, RONALD | I | DIRECTOR | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| AVANTAX WM HOLDINGS, INC. | DE | SPIRIT ACQUISITIONS, LLC. | F | Control |
| ARETEC GROUP, INC. | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. DBA CETERA HOLDINGS | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. DBA CETERA HOLDINGS | DE | AVANTAX, INC. | E | Control |
| ARETEC GROUP, INC. DBA CETERA HOLDINGS | DE | AVANTAX, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, INC. | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX HOLDINGS, LLC | DE | PROJECT BASEBALL SUB, INC. | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| AVANTAX, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, INC. | E | Control |
| BLUCORA, INC. | DE | AVANTAX HOLDINGS, LLC | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO HOLDINGS, INC. | E | Control |
| GC THREE HOLDINGS, INC. | DE | GC TWO HOLDINGS, INC. | E | Control |
| GC TWO HOLDINGS, INC. | FE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC TWO HOLDINGS, INC. | FE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC TWO HOLDINGS, INC. | FE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC TWO HOLDINGS, INC. | FE | GC TWO INTERMEDIATE HOLDINGS, INC. | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. DBA CETERA HOLDINGS | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. DBA CETERA HOLDINGS | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. DBA CETERA HOLDINGS | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC. | DE | ARETEC GROUP, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
| PROJECT BASEBALL SUB, INC. | DE | AVANTAX WM HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Oct 16, 2025 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
3390 ASBURY ROADDUBUQUE, IA 52002-2801
United States
Phone: 563-582-2855