LADENBURG THALMANN ASSET MANAGEMENT INC
CRD #108604 SEC #801-54909 NEW YORK, NY 800-995-5267
SEC Registered Disclosures
Total AUM
$5.6B
Discretionary
$1.6B
Employees
33
Clients
0
Accounts
3,334
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 16, 2025
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR OF ASSET MANAGEMENT | NA | |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT/DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CHILLEMI, DIANE, MARIE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CROWLEY, GEORGE, FLURENCE | I | PORTFOLIO MANAGER | NA | |
| CROWLEY, GEORGE, FLURENCE | I | PORTFOLIO MANAGER | NA | |
| CROWLEY, GEORGE, FLURENCE | I | PORTFOLIO MANAGER | NA | |
| CROWLEY, GEORGE, FLURENCE | I | PORTFOLIO MANAGER | NA | |
| CROWLEY, GEORGE, FLURENCE | I | PORTFOLIO MANAGER | NA | |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DESMOND, JAIME, LYNN | I | CHIEF OPERATIONS OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVANS, STUART, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANCO, COREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANCO, COREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANCO, COREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIANNOTTO, MICHAEL, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIARDINA, SALVATORE | I | EVP/TREASURER | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP/GENERAL COUNSEL & SECRETARY | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | SVP | NA | Control |
| JOHNSTON, CHARLES, IRVINE | I | CEO | NA | Control |
| JOHNSTON, CHARLES, IRVINE | I | CEO | NA | Control |
| JOHNSTON, CHARLES, IRVINE | I | CEO | NA | Control |
| JOHNSTON, CHARLES, IRVINE | I | CEO | NA | Control |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATEICKA, ROBERT, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| MITCHELL, CHRISTOPHER, MILLS | I | TREASURER | NA | Control |
| MULLER, KURT, YASIN | I | PORTFOLIO MANAGER | NA | |
| MULLOOLY, STEVEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | PORTFOLIO MANAGER | NA | |
| PEKAR, THOMAS, OCTAVE | I | PORTFOLIO MANAGER | NA | |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| RIVAS, VICTOR, MANUEL | I | COB/CEO/DIRECTOR | NA | Control |
| RIVAS, VICTOR, MANUEL | I | COB/CEO/DIRECTOR | NA | Control |
| RIVAS, VICTOR, MANUEL | I | COB/CEO/DIRECTOR | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUGGIERO, JOHN, HENRY | I | PRESIDENT | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUTINEL, MADELINE, YAHAIRA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Rutinel, Madeline, Yahaira | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Rutinel, Madeline, Yahaira | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Rutinel, Madeline, Yahaira | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Rutinel, Madeline, Yahaira | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EVP, OPERATIONS & TECHNOLOGY SOLUTIONS | NA | Control |
| SCHMIDT, DAVID, ANDREW | I | TREASURER | NA | |
| SCHMIDT, DAVID, ANDREW | I | TREASURER | NA | |
| SCHMIDT, DAVID, MARTIN | I | TREASURER | NA | Control |
| SCHMIDT, DAVID, MARTIN | I | TREASURER | NA | Control |
| SCHMIDT, DAVID, MARTIN | I | TREASURER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEIFFERT, SCOTT, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN & CO. INC. | DE | DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | 100% DIRECT SHAREHOLDER | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | OWNS 100% OF LADENBURG THALMANN & CO. INC. | E | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | DE | 100% DIRECT SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
| OSAIC HOLDINGS, INC. | DE | MANAGER/SOLE MEMBER-SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| AG ARTEMIS HOLDINGS GP, LLC | DE | AG ARTEMIS HOLDINGS, L.P. | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR LP | F | Control |
| BERLINSKI, MILTON, RALPH | I | MRB ICBC LLC | F | Control |
| BERLINSKI, MILTON, RALPH | I | THE BERLINSKI FAMILY 2006 TRUST | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| RCP ARTEMIS CO-INVEST GP LLC | DE | RCP ARTEMIS CO-INVEST L.P. | F | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES INC. | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES INC. | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES INC. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | OSAIC FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | OSAIC FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | OSAIC FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | RCP ARTEMIS CO-INVEST GP LLC | E | Control |
| AG PARENT CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG PARENT CORP. | DE | RCP ARTEMIS CO-INVEST GP LLC | E | Control |
| AG PARENT CORP. | DE | RCP ARTEMIS CO-INVEST GP LLC | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | RCP ARTEMIS CO-INVEST GP LLC | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | OSAIC HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | OSAIC HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | OSAIC HOLDINGS, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| OSAIC FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| OSAIC FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| OSAIC FINANCIAL SERVICES | DE | AG PARENT CORP. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS GP, LLC | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR HOLDCO LLC | DE | RCP GENPAR LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP GENPAR LP | DE | RCP OPP FUND II GP, LP | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| RCP OPP FUND II GP, LP | DE | RCP ARTEMIS CO-INVEST L.P. | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| THE BERLINSKI FAMILY 2006 TRUST | DE | MRB ICBC LLC | E | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| BERLINSKI, MILTON, RALPH | I | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
| MRB ICBC LLC | DE | RCP GENPAR HOLDCO LLC | C | Control |
Registrations
Federal
IA
Sep 16, 2025 REGISTERED
Notice Filings (52)
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