LMCG INVESTMENTS, LLC
CRD #149936 SEC #801-70357 BOSTON, MA 617-380-5600
SEC Registered Private Funds
Total AUM
$6.5B
Discretionary
$6.3B
Employees
45
Clients
--
Accounts
2,160
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2025
- Branch Offices
- 1
- LEI
- 54930043E7LYHQYMV608
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADLER, RICHARD, HOWARD | I | BOARD MEMBER | NA | Control |
| ADLER, RICHARD, HOWARD | I | BOARD MEMBER | NA | Control |
| ADLER, RICHARD, HOWARD | I | BOARD MEMBER | NA | Control |
| ADLER, RICHARD, HOWARD | I | BOARD MEMBER | NA | Control |
| CAREY, CHRISTOPHER, J. | I | BOARD MEMBER | NA | |
| CAREY, CHRISTOPHER, J. | I | BOARD MEMBER | NA | |
| CAREY, CHRISTOPHER, J. | I | BOARD MEMBER | NA | |
| CAREY, CHRISTOPHER, J. | I | BOARD MEMBER | NA | |
| CAREY, CHRISTOPHER, J. | I | BOARD MEMBER | NA | |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAVIS, JEFFREY, PARKER | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FRANCOEUR, GREGORY, PAUL | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | Control |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| FREEMAN, WILLIAM, JAY | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | Control |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| GERSHEN, RICHARD, SCOTT | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | Control |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| MUNDER, LEE, PAUL | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| NUNNELEE, MICHAEL, JOSEPH | I | BOARD MEMBER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| PRICE, EDMUND, H | I | CHIEF LEGAL OFFICER | NA | |
| SAPPINGTON, BILL, EUGENE | I | BOARD MEMBER | NA | |
| SAPPINGTON, BILL, EUGENE | I | BOARD MEMBER | NA | |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SELTZER, JASON, ADAM | I | BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| VINGERS, R, TODD | I | BOARD MEMBER | NA | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| CONVERGENT CAPITAL MANAGEMENT, LLC | DE | MEMBER | D | Control |
| LEE MUNDER CAPITAL GROUP, LP | DE | MEMBER | D | Control |
| LEE MUNDER INVESTMENTS LTD. | DE | MEMBER | D | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| REDNUM FAMILY INVESTMENTS, LP | DE | MEMBER | B | |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| SWAN, KENNETH, LESLIE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER | B | Control |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TEMPERANCE WEALTH PARTNERS LP | DE | MEMBER | B | |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | B | Control |
| DESPOTOPULOS, JOHN, DANIEL | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| ECKNER, ANDREAS | I | MEMBER | A | |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| GANONG, RICHARD, JOSEPH | I | MEMBER/BOARD MEMBER | A | Control |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| HOREL, GUILLAUME | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| JAEGER, NAN-MARIE | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| KUMAR, AJIT | I | MEMBER | A | |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| LAYTON, JOHN, RODNEY | I | MEMBER/BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TOWER, III, JOSEPH F | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER | A | Control |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| TSUI, EDWIN, YU ON | I | MEMBER | A | |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
| WEEKS, DAVID, LAWRENCE | I | MEMBER/BOARD MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CASTANEA FAMILY HOLDINGS, LLC | DE | LEE MUNDER CAPITAL GROUP, LP | F | Control |
| CASTANEA FAMILY INVESTMENTS, LLC | DE | LEE MUNDER CAPITAL GROUP, LP | F | Control |
| LEE MUNDER CAPITAL GROUP, INC. | DE | LEE MUNDER CAPITAL GROUP, LP | F | Control |
| LEE MUNDER INVESTMENTS, LLC | DE | LEE MUNDER INVESTMENTS, LTD. | F | Control |
| MARKS, NANCY, L | I | PHILIP SMITH TRUST | F | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | F | |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SELTZER, JASON, ADAM | I | TEMPERANCE PARTNERS INC. | F | Control |
| SMITH, RICHARD, A | I | PHILIP SMITH TRUST | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS INC. | F | Control |
| SORBARA, PAUL, JOSEPH | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE PARTNERS GP I LIMITED | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TEMPERANCE WEALTH PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS INC. | F | Control |
| TICE, KEVIN, DOUGLAS | I | TEMPERANCE PARTNERS GP I LIMITED | F | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| JDS TPLP TRUST | FE | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | E | Control |
| LEE MUNDER CAPITAL GROUP, LP | DE | LEE MUNDER INVESTMENTS, LTD. | E | Control |
| MUNDER, LEE, PAUL | I | LEE MUNDER CAPITAL GROUP INC. | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | E | Control |
| PHILIP SMITH TRUST | DE | CASTANEA FAMILY INVESTMENTS, LLC | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC US GROUP HOLDINGS LLC | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT, LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| ROYAL BANK OF CANADA | FE | RBC US GROUP HOLDINGS LLC | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | FE | TEMPERANCE PARTNERS INC. | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| TEMPERANCE PARTNERS INC. | DE | TEMPERANCE WEALTH PARTNERS LP | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | D | Control |
| KNEZ, BRIAN, JONATHAN | I | CASTANEA FAMILY HOLDINGS, LLC | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| MUNDER, LEE, PAUL | I | REDNUM FAMILY INVESTMENTS, LP | C | Control |
| REDNUM FAMILY INVESTMENTS, LP | DE | LEE MUNDER CAPITAL GROUP, LP | C | Control |
| SMITH, ROBERT, ALAN | I | CASTANEA FAMILY HOLDINGS, LLC | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, JULIA, CATHERINE | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, PAUL, JOSEPH | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
| SORBARA, THOMAS, ANTHONY | I | JDS TPLP TRUST | C | Control |
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