FIRST ALLIED ASSET MANAGEMENT
CRD #140292 SEC #801-67188 SAN DIEGO, CA 866-299-4864
SEC Registered
Total AUM
$691.4M
Discretionary
$611.8M
Employees
11
Clients
0
Accounts
4,970
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 30, 2012
- 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 |
|---|---|---|---|---|
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/ADVANCED EQUITIES WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/FIRST ALLIED WEALTH MANAGEMENT | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO/FIRST ALLIED WEALTH MANAGEMENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CFO | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| GLASER, GREGG, STEVEN | I | FINOP | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT | NA | Control |
| MILBURN, ROBERT, MAURICE | I | CFO | NA | Control |
| MILBURN, ROBERT, MAURICE | I | CFO | NA | Control |
| MILBURN, ROBERT, MAURICE | I | CFO | NA | Control |
| MILBURN, ROBERT, MAURICE | I | CFO | NA | Control |
| MILBURN, ROBERT, MAURICE | I | CFO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | SENIOR MANAGING DIRECTOR AND CHIEF PORTFOLIO STRATEGIST | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | FAS HOLDINGS | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
Registrations
Federal
IA
Apr 30, 2012 REGISTERED
Notice Filings (50)
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 RI SC SD TN TX UT VA VT WA WI WV
Address
655 W. BROADWAY12TH FLOOR
SAN DIEGO, CA 92101
United States
Phone: 866-299-4864