O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD #144594 SEC #801-68177 STAMFORD, CT 203-975-3333
SEC Registered
Total AUM
$19.8B
Discretionary
$19.8B
Employees
103
Clients
--
Accounts
11,156
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Dec 16, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/MEMBER | NA | Control |
| AMOROSO III, RAYMOND | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO III, RAYMOND, NMN | I | CHIEF COMPLIANCE OFFICER/PRINCIPAL | NA | Control |
| AMOROSO, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMOROSO, RAYMOND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARTONE, SCOTT, M | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, M | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, M | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, M | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, M | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | PORTFOLIO MANAGER/DIRECTOR OF PORTFOLIO MANAGEMENT & OPERATIONS/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/PORTFOLIO MANAGER/MEMBER | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | COO/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | COO/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF OPERATING OFFICER/HEAD OF PRODUCT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BARTONE, SCOTT, MICHAEL | I | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| BERGGREN, BRADLEY, SCOTT | I | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/PRINCIPAL | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/PRINCIPAL | NA | Control |
| DESSALINES, JOSEPH, EMMANUEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FAIRCHILD, TRAVIS, BRENT | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | DIRECTOR OF TECHNOLOGY/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FITZGERALD, FRANCIS, DANIEL | I | COO/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/MEMBER | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| FOLEY, ERIN, MARIE | I | DIRECTOR OF TRADING/PRINCIPAL | NA | Control |
| GUPTA, RAJAT | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| GUPTA, RAJAT, NMN | I | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE ANALYTICS AND OPERATIONS | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE ANALYTICS & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK ANALYTICS & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK ANALYTICS & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK ANALYTICS & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | NA | Control |
| HAHNCOLBERT, SANDRA, MARLENE | I | DIRECTOR OF PERFORMANCE, RISK & OPERATIONS/MEMBER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH & SENIOR PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH & SENIOR PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH & SENIOR PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH & SENIOR PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH/PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | DIRECTOR OF RESEARCH/PORTFOLIO MANAGER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LATIMER, WILLIAM, MCCARLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | CHIEF FINANCIAL OFFICER/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | CHIEF FINANCIAL OFFICER/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | CHIEF FINANCIAL OFFICER/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | CHIEF FINANCIAL OFFICER/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | CHIEF FINANCIAL OFFICER/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOOMIS, SCOTT, EDWARD | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/PRINCIPAL | NA | Control |
| MCCAFFREY, SEAN, PATRICK | I | DIRECTOR OF INSTITUTIONAL SALES | NA | Control |
| MCCAFFREY, SEAN, PATRICK | I | DIRECTOR OF INSTITUTIONAL SALES | NA | Control |
| MCCAFFREY, SEAN, PATRICK | I | DIRECTOR OF INSTITUTIONAL SALES | NA | Control |
| MCCAFFREY, SEAN, PATRICK | I | DIRECTOR OF INSTITUTIONAL SALES | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | PORTFOLIO MANAGER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | PORTFOLIO MANAGER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | PORTFOLIO MANAGER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | PORTFOLIO MANAGER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/MEMBER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN & LEAD PORTFOLIO MANAGER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN & LEAD PORTFOLIO MANAGER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN & LEAD PORTFOLIO MANAGER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN & LEAD PORTFOLIO MANAGER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN & LEAD PORTFOLIO MANAGER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO & CHAIRMAN | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CEO, CIO, CHAIRMAN, LEAD PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER & MANAGER OF THE MANAGING MEMBER | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | CHAIRMAN, CO-CIO, PORTFOLIO MANAGER, PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CHAIRMAN EMERITUS | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CHAIRMAN EMERITUS | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CHAIRMAN EMERITUS | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CHAIRMAN EMERITUS | NA | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CHAIRMAN EMERITUS | NA | Control |
| ORSECK, JONATHAN | I | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | CEO/MANAGING MEMBER | NA | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | CEO/MANAGING MEMBER | NA | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | CEO/MANAGING MEMBER | NA | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | CEO/MANAGING MEMBER | NA | Control |
| PARADISO, ROGER | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| PARADISO, ROGER, NMN | I | EXECUTIVE CHAIRMAN/PRINCIPAL | NA | Control |
| RAWLINGS, TOM, WAYNE | I | ASSISTANT PORTFOLIO MANAGER | NA | Control |
| RAWLINGS, TOM, WAYNE | I | ASSISTANT PORTFOLIO MANAGER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF INTERMEDIARY SALES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/MEMBER | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF FINANCIAL ADVISORY SERVICES/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| ROSENBAUM, ARI, MARK | I | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/MEMBER | NA | Control |
| SHI, XIUYUN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN, NMN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN, NMN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN, NMN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SHI, XIUYUN, NMN | I | DIRECTOR OF FINANCE/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | CHIEF OPERATING OFFICER/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/MEMBER | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| SPENCE, CLAUDINE, ANTOINETTE | I | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/MEMBER | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CLIENT PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| STANHOPE, EHREN, JONATHAN | I | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | MEMBER | NA | Control |
| VISWANATHAN, ASHVIN | I | PORTFOLIO MANAGER/MEMBER | NA | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| FRANKLIN RESOURCES, INC. | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | E | Control |
| O'SHAUGNESSY FAMILY PARTNERS, LLC | DE | MEMBER | E | Control |
| O'SHAUGNESSY FAMILY PARTNERS, LLC | DE | MEMBER | E | Control |
| O'SHAUGNESSY FAMILY PARTNERS, LLC | DE | MEMBER | E | Control |
| O'SHAUGNESSY FAMILY PARTNERS, LLC | DE | MEMBER | E | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| O'SHAUGHNESSY FAMILY PARTNERS, LLC | DE | MANAGING MEMBER | D | Control |
| BEAR STEARNS ASSET MANAGEMENT INC | DE | MEMBER | B | |
| BEAR STEARNS ASSET MANAGEMENT INC | DE | MEMBER(PASSIVE) | B | |
| BEAR STEARNS ASSET MANAGEMENT, INC. | DE | MEMBER | B | |
| BEAR STEARNS ASSET MANAGEMENT, INC. | DE | MEMBER | B | |
| BEAR STEARNS ASSET MANAGEMENT, INC. | DE | MEMBER | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| ROYAL BANK OF CANADA | FE | MEMBER(PASSIVE) | B | |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT & COO/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| LOVELESS, CHRISTOPHER, STRATTON | I | PRESIDENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH & PORTFOLIO MANAGEMENT/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | SENIOR PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| MEREDITH, CHRISTOPHER, IRA | I | CO-CIO, PORTFOLIO MANAGER/DIRECTOR OF RESEARCH/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
| O'SHAUGHNESSY, PATRICK, WALKER | I | CEO/PORTFOLIO MANAGER/MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| OSHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | E | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
| O'SHAUGHNESSY, JAMES, PATRICK | I | O'SHAUGHNESSY FAMILY PARTNERS, LLC | D | Control |
Registrations
Federal
IA
Dec 16, 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
100 FIRST STAMFORD PLACESTAMFORD, CT 06902
United States
Phone: 203-975-3333