CHESLEY, TAFT & ASSOCIATES, LLC
CRD #111578 SEC #801-58177 CHICAGO, IL 312-873-1260
SEC Registered
Total AUM
$2.8B
Discretionary
$2.6B
Employees
16
Clients
251
Accounts
1,879
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 7, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, THERESE, MARIE | I | MEMBER | NA | |
| ANDERSON, THERESE, MARIE | I | MEMBER | NA | |
| ANDERSON, THERESE, MARIE | I | MEMBER | NA | |
| ANDERSON, THERESE, MARIE | I | MEMBER | NA | |
| Baumgart, Thomas, Alan | I | PRINCIPAL | NA | |
| Baumgart, Thomas, Alan | I | PRINCIPAL | NA | |
| DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | DE | MEMBER | NA | |
| DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | DE | MEMBER | NA | |
| DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | DE | MEMBER | NA | |
| DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | DE | MEMBER | NA | |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | NA | Control |
| HINKO, JEFFREY | I | MEMBER | NA | |
| HINKO, JEFFREY | I | MEMBER | NA | |
| HINKO, JEFFREY | I | MEMBER | NA | |
| HINKO, JEFFREY | I | MEMBER | NA | |
| HINKO, JEFFREY | I | MEMBER | NA | |
| Hinko, Jeffrey | I | MEMBER | NA | |
| Hinko, Jeffrey | I | MEMBER | NA | |
| Hinko, Jeffrey | I | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | DE | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOFFREGEN, MICHAEL, PATRICK | I | MEMBER | NA | |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOTTS, DEBORAH, THIDA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| SZAFRANSKI, MATTHEW, S | I | MEMBER | NA | |
| THE THERESE M ANDERSON U/A DATED 04/09/2019 | DE | MEMBER | NA | |
| THE THERESE M ANDERSON U/A DATED 04/09/2019 | DE | MEMBER | NA | |
| THE THERESE M ANDERSON U/A DATED 04/09/2019 | DE | MEMBER | NA | |
| THE THERESE M ANDERSON U/A DATED 04/09/2019 | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | NA | |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | D | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | D | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | D | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | D | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | D | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | MEMBER, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| CHESLEY, FARIS, FRANKLIN | I | PRINCIPAL, MANAGER AND CHAIRMAN | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | DE | MEMBER | C | Control |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | C | |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| TAFT, ALLEN, RICHARD | I | MEMBER, MANAGER AND PRESIDENT | C | Control |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | DE | MEMBER | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | PRINCIPAL | B | Control |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | DE | MEMBER | B | |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| OLEARY, GREGORY, JAMES | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | |
| ZAVALKOFF, BRIAN, AARON | I | MEMBER, SENIOR VICE PRESIDENT | B | |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| ZAVALKOFF, BRIAN, AARON | I | PRINCIPAL | B | Control |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | A | |
| GIARDINA, JOAN, MARIE | I | MEMBER, SENIOR VICE PRESIDENT | A | |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | PRINCIPAL, PRESIDENT | A | Control |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | |
| OLEARY, GREGORY, JAMES | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | Control |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | Control |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | Control |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | Control |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| SOBEL, JOHN, JEFFREY | I | PRINCIPAL | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | DE | MEMBER | A | |
| ZAVALKOFF, BRIAN, AARON | I | MEMBER, SENIOR VICE PRESIDENT | A | |
| ZAVALKOFF, BRIAN, AARON | I | MEMBER, SENIOR VICE PRESIDENT | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, THERESE, MARIE | I | THE THERESE M ANDERSON U/A DATED 04/09/2019 | F | |
| ANDERSON, THERESE, MARIE | I | THE THERESE M ANDERSON U/A DATED 04/09/2019 | F | |
| ANDERSON, THERESE, MARIE | I | THE THERESE M ANDERSON U/A DATED 04/09/2019 | F | |
| ANDERSON, THERESE, MARIE | I | THE THERESE M ANDERSON U/A DATED 04/09/2019 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOFFREGEN, MICHAEL, PATRICK | I | MICHAEL P STOFFREGEN REVOCABLE TRUST DATED 11/22/2010 | F | |
| STOTTS, DEBORAH, THIDA | I | DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | F | Control |
| STOTTS, DEBORAH, THIDA | I | DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | F | Control |
| STOTTS, DEBORAH, THIDA | I | DEBORAH T. STOTTS AMENDED AND RESTATED REVOCABLE TRUST AGREEMENT DATED MARCH 28, 2026 | F | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| CHESLEY, FARIS, FRANKLIN | I | FARIS F. CHESLEY TRUST DATED JUNE 7, 2002 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GIARDINA, JOAN, MARIE | I | JOAN M. GIARDINA TRUST DATED APRIL 09, 1998 | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| GOLDSTEIN, WILLIAM, ALLEN | I | WILLIAM A. GOLDSTEIN REVOCABLE TRUST, DATED MAY 5, 1988, AS AMENDED AND RESTATED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
| ZAVALKOFF, BRIAN, AARON | I | BRIAN A. ZAVALKOFF REVOCABLE TRUST DATED DECEMBER 23, 2003, AS AMENDED | E | Control |
Registrations
Federal
IA
Mar 7, 2025 REGISTERED
Notice Filings (18)
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Address
135 S. LASALLE STREETSUITE 2900
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