UNITED CAPITAL FINANCIAL ADVISORS, LLC
Legal name: UNITED CAPITAL FINANCIAL ADVISORS
CRD #134600 SEC #801-64376 IRVING, TX 972-822-2055
SEC Registered
Total AUM
$17.2B
Discretionary
$16.4B
Employees
271
Clients
--
Accounts
41,738
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 2, 2025
- Branch Offices
- 41
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BECK, KRISTINA, CHEH | I | GENERAL COUNSEL AND CORPORATE SECREARY | NA | Control |
| BECK, KRISTINA, CHEH | I | GENERAL COUNSEL AND CORPORATE SECREARY | NA | Control |
| BECK, KRISTINA, CHEH | I | GENERAL COUNSEL AND CORPORATE SECREARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BERNAL, JORGE, A | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| Bernal, Jorge, A | I | CHIEF OPERATING OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT | NA | |
| CAPELLE, MICHAEL, JOHN | I | SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER | NA | |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| CAPELLE, MICHAEL, JOHN | I | MANAGING DIRECTOR, CHIEF PLATFORM OFFICER | NA | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | NA | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | NA | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN | I | PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN | I | PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN | I | PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FOX, DAVID, ASHLEY | I | PRESIDENT | NA | Control |
| FOX, DAVID, ASHLEY | I | PRESIDENT | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HALLMAN, DAVID, LAMAR | I | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | NA | |
| HEMSTEAD, CHRISTOPHER | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | |
| HEMSTEAD, CHRISTOPHER | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | |
| HEMSTEAD, CHRISTOPHER | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | |
| HEMSTEAD, CHRISTOPHER | I | VICE PRESIDENT | NA | |
| HEMSTEAD, CHRISTOPHER | I | CHIEF OPERATING OFFICER | NA | |
| HEMSTEAD, CHRISTOPHER | I | VICE PRESIDENT | NA | |
| HEMSTEAD, CHRISTOPHER | I | VICE PRESIDENT | NA | |
| HEMSTEAD, CHRISTOPHER | I | VICE PRESIDENT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARMIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARMIMORE, SONJA, LEANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| LUKS, SHELLEY, M | I | TREASURER | NA | |
| Luks, Shelley, M | I | MANAGING DIRECTOR, TREASURER | NA | |
| Luks, Shelley, M | I | MANAGING DIRECTOR, TREASURER | NA | |
| Luks, Shelley, M | I | MANAGING DIRECTOR, TREASURER | NA | |
| MCDOWELL, BRIAN, MICHAEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MLENEK, ROBERT, ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, KARA, MARIE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MURPHY, KARA, MARIE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL, SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL, SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL, SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER, SECRETARY | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER | NA | Control |
| POULSON, NICOLE, MARIE | I | CHIEF OPERATING OFFICER, SECRETARY | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | MANAGING DIRECTOR | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RESTIERI, LAWRENCE, JOSEPH | I | VICE PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| RIVERS, JAMES, FRANCIS | I | PRESIDENT | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR, CHIEF BUSINESS OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALB, FRANKLIN, WAYNE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SALDANHA, MELROY | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY, JOHAN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY, JOHAN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY, JOHAN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY, JOHAN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SALDANHA, MELROY, JOHAN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SEILER, JONATHAN, DAVID | I | HEAD OF OPERATIONS | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCFA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC | DE | SOLE MEMBER AND MANAGER | E | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PRESIDENT, DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MALLOUK, ALEXANDER, GEORGE | I | MJG IRREVOCABLE TRUST DTD 01/01/2014 | F | Control |
| MALLOUK, ALEXANDER, GEORGE | I | MJG IRREVOCABLE TRUST DTD 01/01/2014 | F | Control |
| MALLOUK, ALEXANDER, GEORGE | I | MJG IRREVOCABLE TRUST DTD 01/01/2014 | F | Control |
| MALLOUK, ALEXANDER, GEORGE | I | MJG IRREVOCABLE TRUST DTD 01/01/2014 | F | Control |
| MALLOUK, ALEXANDER, GEORGE | I | MJG IRREVOCABLE TRUST DTD 01/01/2014 | F | Control |
| MALLOUK, PETER, ALEX | I | PETER MALLOUK TRUST DTD 07/17/2002 | F | Control |
| MALLOUK, PETER, ALEX | I | PETER MALLOUK TRUST DTD 07/17/2002 | F | Control |
| MALLOUK, PETER, ALEX | I | PETER MALLOUK TRUST DTD 07/17/2002 | F | Control |
| MALLOUK, PETER, ALEX | I | PETER MALLOUK TRUST DTD 07/17/2002 | F | Control |
| MALLOUK, PETER, ALEX | I | PETER MALLOUK TRUST DTD 07/17/2002 | F | Control |
| CPI HOLDCO A, LLC | DE | CPI HOLDCO B, LLC | E | Control |
| CPI HOLDCO A, LLC | DE | CPI HOLDCO B, LLC | E | Control |
| CPI HOLDCO A, LLC | DE | CPI HOLDCO B, LLC | E | Control |
| CPI HOLDCO A, LLC | DE | CPI HOLDCO B, LLC | E | Control |
| CPI HOLDCO A, LLC | DE | CPI HOLDCO B, LLC | E | Control |
| CPI HOLDCO B, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, LLC | E | Control |
| CPI HOLDCO B, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, LLC | E | Control |
| CPI HOLDCO B, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, LLC | E | Control |
| CPI HOLDCO B, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, LLC | E | Control |
| CPI HOLDCO B, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, LLC | E | Control |
| CREATIVE PLANNING (CPI) HOLDCO, INC. | DE | CREATIVE PLANNING HOLDCO, LLC | E | Control |
| CREATIVE PLANNING (CPI) HOLDCO, INC. | DE | CREATIVE PLANNING HOLDCO, LLC | E | Control |
| CREATIVE PLANNING (CPI) HOLDCO, INC. | DE | CREATIVE PLANNING HOLDCO, LLC | E | Control |
| CREATIVE PLANNING (CPI) HOLDCO, INC. | DE | CREATIVE PLANNING HOLDCO, LLC | E | Control |
| CREATIVE PLANNING (CPI) HOLDCO, INC. | DE | CREATIVE PLANNING HOLDCO, LLC | E | Control |
| CREATIVE PLANNING HOLDCO, LLC | DE | CPI HOLDCO A, LLC | E | Control |
| CREATIVE PLANNING HOLDCO, LLC | DE | CPI HOLDCO A, LLC | E | Control |
| CREATIVE PLANNING HOLDCO, LLC | DE | CPI HOLDCO A, LLC | E | Control |
| CREATIVE PLANNING HOLDCO, LLC | DE | CPI HOLDCO A, LLC | E | Control |
| CREATIVE PLANNING HOLDCO, LLC | DE | CPI HOLDCO A, LLC | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| PETER MALLOUK TRUST DTD 07/17/2002 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | D | Control |
| PETER MALLOUK TRUST DTD 07/17/2002 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | D | Control |
| PETER MALLOUK TRUST DTD 07/17/2002 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | D | Control |
| PETER MALLOUK TRUST DTD 07/17/2002 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | D | Control |
| PETER MALLOUK TRUST DTD 07/17/2002 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | D | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| MJG IRREVOCABLE TRUST DTD 01/01/2014 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | C | Control |
| MJG IRREVOCABLE TRUST DTD 01/01/2014 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | C | Control |
| MJG IRREVOCABLE TRUST DTD 01/01/2014 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | C | Control |
| MJG IRREVOCABLE TRUST DTD 01/01/2014 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | C | Control |
| MJG IRREVOCABLE TRUST DTD 01/01/2014 | DE | CREATIVE PLANNING (CPI) HOLDCO, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
Registrations
Federal
IA
Oct 2, 2025 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
125 E JOHN CARPENTER FRWYSUITE 1300
IRVING, TX 75062
United States
Phone: 972-822-2055