IVY ASSET MANAGEMENT LLC
CRD #107831 SEC #801-45776 UNIONDALE, NY 516-338-3760
SEC Registered Private Funds Disclosures
Total AUM
$206.5M
Discretionary
$206.5M
Employees
11
Clients
--
Accounts
53
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 16, 2012
- 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 |
|---|---|---|---|---|
| BALDWIN, COLLEEN, DOLAN | I | CHIEF OPERATING OFFICER | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BANNON, KEVIN, J. | I | DIRECTOR | NA | Control |
| BILLERBECK, CHARLES, J. | I | MANAGER | NA | Control |
| BILLERBECK, CHARLES, J. | I | MANAGER | NA | Control |
| BILLERBECK, CHARLES, J. | I | MANAGER | NA | Control |
| CUMMINS, GLENN, P. | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CUMMINS, GLENN, P. | I | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | NA | Control |
| CUMMINS, GLENN, P. | I | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | NA | Control |
| CUMMINS, GLENN, P. | I | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | NA | Control |
| CUMMINS, GLENN, P. | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CUMMINS, GLENN, P. | I | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | NA | Control |
| DAVIES, STUART | I | GLOBAL HEAD OF INVESTMENTS | NA | Control |
| DAVIES, STUART | I | GLOBAL HEAD OF INVESTMENTS | NA | Control |
| DAVIES, STUART | I | GLOBAL HEAD OF INVESTMENTS | NA | Control |
| DAVIES, STUART | I | GLOBAL HEAD OF INVESTMENTS | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GARMISE, JASON, BRIAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GEIGER, ADAM, LEE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GEIGER, ADAM, LEE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | DIRECTOR, INVESTMENTS | NA | Control |
| GEIGER, ADAM, LEE | I | MANAGING DIRECTOR, INVESTMENTS | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| GRAF, THOMAS, CARL | I | MANAGER | NA | Control |
| HEMENETZ, MARK, A. | I | DIRECTOR | NA | Control |
| HEMENETZ, MARK, A. | I | DIRECTOR | NA | Control |
| LINDENBAUM, JEFFREY, R. | I | DIRECTOR, PRODUCTS AND MARKETS | NA | Control |
| LINDENBAUM, JEFFREY, R. | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- EUROPE AND ASIA | NA | Control |
| LINDENBAUM, JEFFREY, R. | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- EUROPE AND ASIA | NA | Control |
| LINDENBAUM, JEFFREY, R. | I | DIRECTOR, PRODUCTS AND MARKETS | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | MANAGER | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | MANAGER | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | MANAGER | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | MANAGER | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | DIRECTOR | NA | Control |
| LITTLE, JONATHAN, MICHAEL | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MAISANO, PHILLIP, NICHOLAS | I | MANAGER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARLIN, KENNETH, ROD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MERRILL, NEWTON, P S | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MERRILL, NEWTON, P S | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MORGENTHAL, LAWRENCE, ROSS | I | CHIEF OPERATING OFFICER | NA | Control |
| MORGENTHAL, LAWRENCE, ROSS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MORGENTHAL, LAWRENCE, ROSS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| NORIS, PETER, DANA | I | CHIEF INVESTMENT OFFICER | NA | Control |
| NORIS, PETER, DANA | I | CHIEF INVESTMENT OFFICER | NA | Control |
| NORIS, PETER, DANA | I | CHIEF INVESTMENT OFFICER | NA | Control |
| O'HANLEY, RONALD, PHILIP | I | MANAGER | NA | Control |
| O'HANLEY, RONALD, PHILIP | I | MANAGER | NA | Control |
| O'HANLEY, RONALD, PHILIP | I | DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| PISARKIEWICZ, STEVEN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| ROGERS, JOHN, DREW | I | MANAGING DIRECTOR, INVESTMENT PRODUCTS GROUP | NA | Control |
| ROGERS, JOHN, DREW | I | MANAGING DIRECTOR, INVESTMENT PRODUCTS GROUP | NA | Control |
| ROGERS, JOHN, DREW | I | DIRECTOR, PRODUCTS AND MARKETS | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLICHT, CHRISTINE, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEBETIC, PAUL, GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMON, LAWRENCE | I | VICE CHAIRMAN | NA | Control |
| SIMON, LAWRENCE | I | VICE CHAIRMAN | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | VICE CHAIRMAN | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, LAWRENCE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | DIRECTOR, CLIENT DEVELOPMENT | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SIMON, SEAN, GARRETT | I | CO-PRESIDENT | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SIMON, SEAN, GARRETT | I | DIRECTOR, CLIENT DEVELOPMENT | NA | Control |
| SIMON, SEAN, GARRETT | I | MANAGING DIRECTOR, CLIENT DEVELOPMENT- NORTH AMERICA | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | CO-PRESIDENT | NA | Control |
| SINGER, MICHAEL, EVAN | I | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SLOAN, FRED, P. | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CO-CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CO-CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CO-CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CO-CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| SQUASONI, DOUGLAS, WADE | I | CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | DIRECTOR | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WENNERHOLM, SCOTT, EDWARD | I | MANAGER | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| WOHL, HOWARD | I | VICE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| ALTERNATIVE HOLDINGS I, LLC | DE | 100% OWNER OF IVY ASSET MANAGEMENT LLC | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| ALTERNATIVE HOLDINGS II, LLC | DE | ALTERNATIVE HOLDINGS I, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | ALTERNATIVE HOLDINGS II, LLC | E | Control |
Registrations
Federal
IA
May 16, 2012 REGISTERED
Notice Filings (2)
CA NY
Address
144 GLENN CURTISS BOULEVARD7TH FLOOR
UNIONDALE, NY 11556
United States
Phone: 516-338-3760