INDEPENDENT PORTFOLIO CONSULTANTS, INC.
CRD #120420 SEC #801-61381 BOCA RATON, FL 561-912-1040
SEC Registered
Total AUM
$2B
Discretionary
$378.3M
Employees
38
Clients
0
Accounts
1,120
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 3, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| BUSH, ALAN, DEAN | I | PRESIDENT/DIRECTOR | NA | Control |
| CATHCART, KATHERINE, JEANETTE | I | DIRECTOR OF CONCIERGE SERVICES | NA | Control |
| CATHCART, KATHERINE, JEANETTE | I | DIRECTOR OF CONCIERGE SERVICES | NA | Control |
| CATHCART, KATHERINE, JEANETTE | I | DIRECTOR OF CONCIERGE SERVICES | NA | Control |
| CATHCART, KATHERINE, JEANETTE | I | DIRECTOR OF CONCIERGE SERVICES | NA | Control |
| CATHCART, KATHERINE, JEANETTE | I | DIRECTOR OF CONCIERGE SERVICES | NA | Control |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| DIAMOND, JASON, HOWARD | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FINK, ALLAN, MARK | I | DIRECTOR | NA | |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER, DIRECTOR & CCO | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER, DIRECTOR & CCO | NA | Control |
| FLEMING, MICHAEL, ANDREW | I | CHIEF EXECUTIVE OFFICER, DIRECTOR & CCO | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| Halliday, Michael, K.C. | I | BOARD MEMBER | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | TREASURER/SECRETARY/DIRECTOR | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KAUL, ARUN | I | PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| KUCKRO, LEE, GERARD | I | DIRECTOR | NA | |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MOTHERWELL, JOHN, DAVID | I | NATIONAL SALES MANAGER | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MULLANE, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| POTTS, RONALD, ALLAN | I | CHAIRMAN, BOARD OF DIRECTORS | NA | Control |
| SAWAN, DONNA, LEE | I | DIRECTOR | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SOMERS II, DAVID, MICHAEL | I | ASSISTANT SECRETARY | NA | |
| SWENDIMAN, MATTHEW, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENDIMAN, MATTHEW, ASHLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| Welch, Jean, Francois | I | BOARD MEMBER | NA | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| ADVEST GROUP, INC. | DE | PARENT COMPANY | E | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| BUSH, ALAN, DEAN | I | VICE CHAIRMAN | D | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE, JR., FREDERICK, SAMUEL | I | TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| JOYCE,JR., FREDERICK, SAMUEL | I | CHIEF COMPLIANCE OFFICER,TREASURER, SECRETARY & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT/DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT & DIRECTOR | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
| KOBURGER, DAVID, ROBERT | I | VICE PRESIDENT | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AXA | FE | ADVEST GROUP, INC. | E | Control |
| AXA FINANCIAL, INC. | DE | ADVEST GROUP, INC. | E | Control |
| AXA FINANCIAL, INC. | DE | ADVEST GROUP, INC. | E | Control |
| AXA FINANCIAL, INC. | DE | ADVEST GROUP, INC. | E | Control |
| AXA FINANCIAL, INC. | DE | ADVEST GROUP, INC. | E | Control |
| AXA FINANCIAL, INC. | DE | ADVEST GROUP, INC. | E | Control |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | E | Control |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | E | Control |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | E | Control |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | DE | THE ADVEST GROUP, INC. | E | Control |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | DE | THE ADVEST GROUP, INC. | E | Control |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | DE | THE ADVEST GROUP, INC. | E | Control |
| THE MONY GROUP, INC. | DE | ADVEST GROUP, INC. | E | Control |
| THE MONY GROUP, INC. | DE | ADVEST GROUP, INC. | E | Control |
Registrations
Federal
IA
Aug 3, 2017 REGISTERED
Notice Filings (41)
AK AL AZ CA CO CT DC DE FL GA IA IL IN KS KY LA MA MD MI MN MO MS MT NC NE NH NJ NV NY OH OK PA SC SD TN TX UT VA VT WA WI
Address
5002 T-REX AVENUESUITE 225
BOCA RATON, FL 33431
United States
Phone: 561-912-1040