PRIME ADVISORS INC
Legal name: PRIME ADVISORS, INC.
CRD #107680 SEC #801-33673 REDMOND, WA 425-202-2000
SEC Registered
Total AUM
$17.7B
Discretionary
$17.5B
Employees
56
Clients
0
Accounts
359
Firm Details
- Organization Type
- Corporation
- State of Formation
- Washington
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 18, 2019
- Branch Offices
- 1
- LEI
- 2549001RCVKOOT5TXG16
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| BROWN, RANDOLPH, BRILL | I | BOARD MEMBER | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | NA | Control |
| CONDE, FRANK, SAMUEL | I | CHIEF INVESTMENT ACTUARY | NA | Control |
| CONDE, FRANK, SAMUEL | I | CHIEF INVESTMENT ACTUARY | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DAVIS, SCOTT | I | BOARD MEMBER | NA | Control |
| DOIRE, STEVEN, C. | I | PRESIDENT | NA | Control |
| GREETHAM, CHRISTOPHER, V | I | DIRECTOR | NA | Control |
| GREETHAM, CHRISTOPHER, V | I | DIRECTOR | NA | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KLIMES, DENNIS, RASTISLAV | I | SENIOR VICE PRESIDENT, MARKETING | NA | |
| KLIMES, DENNIS, RASTISLAV | I | SENIOR VICE PRESIDENT, MARKETING | NA | |
| KLIMES, DENNIS, RASTISLAV | I | SENIOR VICE PRESIDENT, MARKETING | NA | |
| KLIMES, DENNIS, RASTISLAV | I | SENIOR VICE PRESIDENT, MARKETING | NA | |
| KLIMES, DENNIS, RASTISLAV | I | SENIOR VICE PRESIDENT, MARKETING | NA | |
| LEON, LEWIS | I | SENIOR VICE PRESIDENT, ACCOUNTING | NA | |
| LEON, LEWIS | I | SENIOR VICE PRESIDENT, ACCOUNTING | NA | |
| LEON, LEWIS | I | SENIOR VICE PRESIDENT, ACCOUNTING | NA | |
| LEON, LEWIS | I | SENIOR VICE PRESIDENT, ACCOUNTING | NA | |
| LEON, LEWIS | I | SENIOR VICE PRESIDENT, ACCOUNTING | NA | |
| MCDONALD, DONALD, LAYTON | I | BOARD MEMBER | NA | Control |
| MCDONALD, DONALD, LAYTON | I | BOARD MEMBER | NA | Control |
| MCDONALD, DONALD, LAYTON | I | BOARD MEMBER | NA | Control |
| MCDONALD, DONALD, LAYTON | I | BOARD MEMBER | NA | Control |
| MCDONALD, DONALD, LAYTON | I | BOARD MEMBER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL & CHIEF RISK OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, VINCENT, RUSSELL | I | GENERAL COUNSEL, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| O'HANLEY, RONALD, PHILIP | I | DIRECTOR | NA | Control |
| O'HANLEY, RONALD, PHILIP | I | DIRECTOR | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OKELLEY, BLAINE, DAVID | I | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| PEACHER, STEPHEN, C | I | BOARD MEMBER | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | PRESIDENT | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | PRESIDENT | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | PRESIDENT | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | PRESIDENT | NA | Control |
| TOLLEFSON, MARC, WALLACE | I | PRESIDENT | NA | Control |
| VENTURA, LAWRENCE, EUGENE | I | SENIOR VICE PRESIDENT, TECHNOLOGY | NA | Control |
| VENTURA, LAWRENCE, EUGENE | I | SENIOR VICE PRESIDENT, TECHNOLOGY | NA | Control |
| VENTURA, LAWRENCE, EUGENE | I | SENIOR VICE PRESIDENT, TECHNOLOGY | NA | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | DE | SOLE SHAREHOLDER | E | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | C | Control |
| MBC INVESTMENTS CORPORATION | DE | SHAREHOLDER | C | Control |
| MBC INVESTMENTS CORPORATION | DE | SHAREHOLDER | C | Control |
| XL REINSURANCE AMERICA INC. | DE | SHAREHOLDER | C | Control |
| XL REINSURANCE AMERICA INC. | DE | SHAREHOLDER | C | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BERTHY, LESLIE, CHARLES | I | MANAGING DIRECTOR | B | Control |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| BEZOS, JEFFREY, PRESTON | I | SHAREHOLDER | B | |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | CHAIRMAN & CEO | B | Control |
| CASTLES, DUANE, IRWIN | I | DIRECTOR | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | B | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | B | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | B | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | B | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CLARK, DOUGLAS | I | DIRECTOR/CHIEF PORTFOLIO STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| CONDE, FRANK, SAMUEL | I | DIRECTOR/CHIEF INVESTMENT STRATEGIST | A | Control |
| EVANS, JAMES, GORDON | I | SENIOR VICE PRESIDENT & INVESTMENT STRATEGIST | A | Control |
| EVANS, JAMES, GORDON | I | SENIOR VICE PRESIDENT & INVESTMENT STRATEGIST | A | Control |
| EVANS, JAMES, GORDON | I | SENIOR VICE PRESIDENT & INVESTMENT STRATEGIST | A | Control |
| EVANS, JAMES, GORDON | I | SENIOR VICE PRESIDENT & INVESTMENT STRATEGIST | A | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | A | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | A | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | A | Control |
| JOHNSON, JEFFREY, ALAN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| JOHNSON, JEFFREY, ALAN | I | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MACMILLAN, ROBERT, JOSEPH | I | SENIOR VICE PRESIDENT & PORTFOLIO STRATEGIST | A | Control |
| MCDONALD, DONALD, LAYTON | I | EXECUTIVE VICE PRESIDENT | A | Control |
| MCDONALD, DONALD, LAYTON | I | PRESIDENT | A | Control |
| MCDONALD, DONALD, LAYTON | I | PRESIDENT | A | Control |
| MCDONALD, DONALD, LAYTON | I | PRESIDENT | A | Control |
| MCDONALD, DONALD, LAYTON | I | EXECUTIVE VICE PRESIDENT | A | Control |
| MCDONALD, DONALD, LAYTON | I | CHAIRMAN, PRESIDENT & CEO | A | Control |
| ROWLAND, VINCENT, THOMAS | I | MANAGING DIRECTOR | A | Control |
| ROWLAND, VINCENT, THOMAS | I | PRESIDENT | A | Control |
| ROWLAND, VINCENT, THOMAS | I | PRESIDENT | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
| TOLLEFSON, MARC, WALLACE | I | CHIEF INVESTMENT OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE 2007-1 FINANCING CORP | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE ASSURANCE COMPANY OF CANADA-U.S. OPERATIONS HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | E | Control |
| SUN LIFE ASSURANCE COMPANY OF CANADA-U.S. OPERATIONS HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | E | Control |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | E | Control |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | E | Control |
| SUN LIFE FINANCIAL HOLDINGS, INC. | DE | RYAN LABS ASSET MANAGEMENT INC. | E | Control |
| SUN LIFE FINANCIAL HOLDINGS, INC. | DE | RYAN LABS ASSET MANAGEMENT INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE FINANCIAL INC. | FE | SUN LIFE GLOBAL INVESTMENTS INC. | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE ASSURANCE COMPANY OF CANADA-U.S. OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE ASSURANCE COMPANY OF CANADA-U.S. OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| SUN LIFE GLOBAL INVESTMENTS INC. | FE | SUN LIFE 2007-1 FINANCING CORP | E | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORPORATION | C | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORPORATION | C | Control |
| XL CAPITAL LTD. | FE | XL REINSURANCE AMERICA INC. | C | Control |
| XL CAPITAL LTD. | FE | XL REINSURANCE AMERICA INC. | C | Control |
Registrations
Federal
IA
Jun 18, 2019 REGISTERED
Notice Filings (4)
CA CT NJ WA
Address
22635 NE MARKETPLACE DRIVESUITE 160
REDMOND, WA 98053
United States
Phone: 425-202-2000