MID-CONTINENT CAPITAL LLC
CRD #107997 SEC #801-54732 CHICAGO, IL 312-551-8200
SEC Registered
Total AUM
$4B
Discretionary
$3.8B
Employees
17
Clients
11
Accounts
1,317
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- OCTOBER
- Registration Date
- --
- Latest Filing
- Jan 13, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | Control |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| ALBRECHT, ROGER, A. | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| BESSENT, JULIE | I | CHIEF FINANCIAL OFFICER | NA | |
| BESSENT, JULIE | I | CHIEF FINANCIAL OFFICER | NA | |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| FREEMAN, WILLIAM, JAY | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| GRIFFITH, HARRY, TOM | I | DIRECTOR | NA | Control |
| HUNT, JON, COWELL | I | DIRECTOR | NA | Control |
| HUNT, JON, COWELL | I | DIRECTOR | NA | Control |
| HUNT, JON, COWELL | I | DIRECTOR | NA | Control |
| HUNT, JON, COWELL | I | DIRECTOR | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| LORSCH, SUSAN, ELAINE | I | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MABIE, JOHN, D | I | CHAIRMAN & DIRECTOR | NA | Control |
| MEAD, DAVID, L | I | PRESIDENT | NA | Control |
| NUNNELEE, MICHAEL, JOSEPH | I | DIRECTOR | NA | Control |
| NUNNELEE, MICHAEL, JOSEPH | I | DIRECTOR | NA | Control |
| NUNNELEE, MICHAEL, JOSEPH | I | DIRECTOR | NA | Control |
| NUNNELEE, MICHAEL, JOSEPH | I | DIRECTOR | NA | Control |
| NUNNELEE, MICHAEL, JOSEPH | I | DIRECTOR | NA | Control |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| SLOAN, CHARLES, MELCHER | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | |
| VENICE, NANCY, ANN | I | EXECUTIVE VICE PRESIDENT | NA | |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | INTEREST HOLDER | D | Control |
| MABIE, JOHN, D | I | CHAIRMAN | C | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BROTTMAN, LAWRENCE, JAY | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| BRUERE, EDWIN, MORSE | I | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
| DOUGLAS, ROBERT, CURRAN | I | PRESIDENT | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
Registrations
Federal
IA
Jan 13, 2022 REGISTERED
Notice Filings (17)
AZ CA CO FL IL IN LA MA MD MI NC NE NH NY TX VA WI
Address
123 NORTH WACKERSUITE 1100
CHICAGO, IL 60606
United States
Phone: 312-551-8200