INDEPENDENT ADVISERS GROUP CORP
CRD #106684 SEC #801-50971 BOSTON, MA 617-423-3644
SEC Registered
Total AUM
$148.7M
Discretionary
$5.3M
Employees
80
Clients
0
Accounts
661
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 22, 2016
- 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 |
|---|---|---|---|---|
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | |
| ANDERSON, LINCOLN, FOREST | I | SR. VICE PRESIDENT & CIO | NA | |
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | |
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | |
| ANDERSON, LINCOLN, FOREST | I | SR. VICE PRESIDENT & CIO | NA | |
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CIO | NA | |
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CIO | NA | |
| ANDERSON, LINCOLN, FOREST | I | MANAGING DIRECTOR & CIO | NA | |
| ANDERSON, LINCOLN, FOREST | I | SR. VICE PRESIDENT & CIO | NA | |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| ARNOLD, DAN, HOGAN | I | PRESIDENT | NA | Control |
| AULETTA, SUZANNE, ELIZABETH | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BERGERS, DAVID, PAUL | I | MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR, CHIEF RISK OFFICER | NA | Control |
| BLACK, STEVEN, MARK | I | SR. VICE PRESIDENT | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR, CHIEF RISK OFFICER | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR, CHIEF RISK OFFICER | NA | Control |
| BLACK, STEVEN, MARK | I | SR. VICE PRESIDENT | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR | NA | Control |
| BLACK, STEVEN, MARK | I | MANAGING DIRECTOR | NA | Control |
| BLACK, STEVEN, MARK | I | SR. VICE PRESIDENT | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR, GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR & GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MNG. DIR. COMPLIANCE & GEN COUNSEL | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR, GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR, GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | MANAGING DIRECTOR, GENERAL COUNSEL, SECRETARY | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE, LEIGH | I | DIRECTOR | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | VICE CHAIRMAN, DIRECTOR, CFO | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | PRESIDENT, COO, DIRECTOR | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | VICE CHAIRMAN, DIRECTOR | NA | Control |
| BUTTERFIELD, DAVID, HOMER | I | VICE CHAIRMAN, DIRECTOR, CFO | NA | Control |
| CANNELLA, GINA | I | MANAGING DIRECTOR | NA | Control |
| CANNELLA, GINA | I | MANAGING DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHIEF OPERATING OFFICER, PRESIDENT | NA | Control |
| CASADY, MARK, STEPHEN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| CASADY, MARK, STEPHEN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | PRESIDENT | NA | Control |
| CASADY, MARK, STEPHEN | I | PRESIDENT | NA | Control |
| CASADY, MARK, STEPHEN | I | PRESIDENT | NA | Control |
| CASADY, MARK, STEPHEN | I | CHIEF OPERATING OFFICER, PRESIDENT | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| CASADY, MARK, STEPHEN | I | CHAIRMAN, DIRECTOR | NA | Control |
| DUGGAN, ANDREW, JAMES | I | EXECUTIVE VICE PRESIDENT & CHIEF INFORMATION OFFICER | NA | Control |
| DWYER, WILLIAM, EDWARD | I | MANAGING DIRECTOR | NA | Control |
| DWYER, WILLIAM, EDWARD | I | MANAGING DIRECTOR | NA | Control |
| DWYER, WILLIAM, EDWARD | I | MANAGING DIRECTOR | NA | Control |
| HANSEN, JEFFREY, SCOTT | I | MANAGING DIRECTOR | NA | |
| KIMM, DAVID, ROBERT | I | CFO, EXECUTIVE VICE PRESIDENT | NA | Control |
| LEE, LEON | I | MANAGING DIRECTOR | NA | Control |
| LEE, LEON | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| LOPEZ, MARK, GEORGE | I | MANAGING DIRECTOR | NA | Control |
| MAHER, CHARLES, WILLIAM | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MAHER, CHARLES, WILLIAM | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MAHER, CHARLES, WILLIAM | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MAHER, CHARLES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGUIRE, JAMES, FRANCIS | I | SR.VICE PRESIDENT & CCO | NA | |
| MCGUIRE, JAMES, FRANCIS | I | SR.VICE PRESIDENT & CCO | NA | |
| MCGUIRE, JAMES, FRANCIS | I | SR.VICE PRESIDENT & CCO | NA | |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MIDDLEMISS, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| NAUSS, DONNA, LYNNE HOUSTON | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VP STRATEGIC PLANNING | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VP STRATEGIC PLANNING | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VICE PRESIDENT, CCO - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VICE PRESIDENT, CCO - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VICE PRESIDENT, CCO - ADVISORY | NA | |
| NAUSS, DONNA, LYNNE HOUSTON | I | VP STRATEGIC PLANNING | NA | |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, JAMES, STEVEN | I | MANAGING DIRECTOR, NATIONAL SALES | NA | Control |
| PUTNAM, ROCHELLE, LEA | I | MANAGING DIRECTOR | NA | Control |
| PUTNAM, ROCHELLE, LEA | I | MANAGING DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, RODERICK, ARNOLD | I | DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | CEO, DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | CEO, DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | COB, DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | COB, DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | COB, DIRECTOR | NA | Control |
| ROBINSON, TODD, ANTHONY | I | CEO, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO, COO | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO, COO | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO, COO, CFO | NA | Control |
| STEARNS, ESTHER, MARION | I | MANAGING DIRECTOR, CIO | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| STEARNS, ESTHER, MARION | I | CHIEF OPERATING OFFICER, PRESIDENT, DIRECTOR | NA | Control |
| TUORTO, JOSEPH, PAUL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| TUORTO, JOSEPH, PAUL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| TUORTO, JOSEPH, PAUL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| TUORTO, JOSEPH, PAUL | I | EXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| TUORTO, JOSEPH, PAUL | I | SENIOR VICE PRESIDENT, HEAD OF COMPLIANCE | NA | Control |
| VALENZUELA, ABDIEL, A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VALENZUELA, ABDIEL, A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VALENZUELA, ABDIEL, A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VALENZUELA, ABDIEL, A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. (LPLH) | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | |
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL FINANCIAL HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDING, INC. | DE | LPL HOLDINGS, INC. | E | |
| LPL INVESTMENT HOLDING, INC. | DE | LPL HOLDINGS, INC. | E | |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| ROBINSON, TODD, ANTHONY | I | LPL HOLDINGS, INC. (LPLH) | E | Control |
| BONDERMAN, DAVID, NMI | I | TPG ADVISORS IV, INC. | D | |
| COULTER, JAMES, GEORGE | I | TPG ADVISORS IV, INC. | D | |
| BONDERMAN, DAVID | I | TPG ADVISORS IV, INC. | C | |
| COULTER, JAMES, GEORGE | I | TPG ADVISORS IV, INC. | C | |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | |
| PRICE, WILLIAM, STANLEY | I | TPG ADVISORS IV, INC. | C | |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | C | |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | C | |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C |
Registrations
Federal
IA
Nov 22, 2016 REGISTERED
Notice Filings (49)
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 NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
75 STATE STREET, 22ND FLOORBOSTON, MA 02109
United States
Phone: 617-423-3644