CAPITAL ANALYSTS, LLC
Legal name: CAPITAL ANALYSTS
CRD #162200 SEC #801-74614 FORT WASHINGTON, PA 800-242-1421
SEC Registered Disclosures
Total AUM
$8.7B
Discretionary
$8.5B
Employees
739
Clients
0
Accounts
26,578
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Pennsylvania
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 9, 2025
- Branch Offices
- 269
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALEXANDER, DANIEL, SEAN | I | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| Arena, Anna, Chechersky | I | TREASURER. CHIEF FINANCIAL OFFICER | NA | Control |
| Arena, Anna, Chechersky | I | TREASURER. CHIEF FINANCIAL OFFICER | NA | Control |
| BUETI, ANTHONY, CHARLES | I | VICE PRESIDENT, OPERATIONS | NA | |
| BUETI, ANTHONY, CHARLES | I | VICE PRESIDENT, OPERATIONS | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | VICE PRESIDENT, OPERATIONS | NA | |
| BUETI, ANTHONY, CHARLES | I | VICE PRESIDENT, OPERATIONS | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BUETI, ANTHONY, CHARLES | I | SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | ASSISTANT TREASURER | NA | |
| BURA, KAREN, DOUGHERTY | I | CONTROLLER (ASSISTANT TREASURER) | NA | |
| BURA, KAREN, DOUGHERTY | I | CONTROLLER (ASSISTANT TREASURER) | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | CONTROLLER (ASSISTANT TREASURER) | NA | |
| BURA, KAREN, DOUGHERTY | I | CONTROLLER (ASSISTANT TREASURER) | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| BURA, KAREN, DOUGHERTY | I | VICE PRESIDENT, CONTROLLER | NA | |
| ESTES, JASON, CHRISTOPHER | I | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | Control |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, SAMUEL | I | DIRECTOR | NA | |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, EDWARD, Samuel | I | ELECTED MANAGER | NA | Control |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, HARRY, SAMUEL | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, ROSEMARIE | I | DIRECTOR | NA | |
| FORST, THOMAS | I | DIRECTOR | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | DIRECTOR | NA | Control |
| FORST, THOMAS | I | DIRECTOR | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | DIRECTOR, VICE PRESIDENT | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | DIRECTOR, VICE PRESIDENT | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FORST, THOMAS | I | VP SALES, DIRECTOR | NA | Control |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR, SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR, SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR, SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR, SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR, SECRETARY | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | DIRECTOR | NA | |
| FORST-PAULUS, MARIELLEN | I | SECRETARY | NA | |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | ELECTED MANAGER, PRESIDENT, CEO | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSER, DENIS, NEIL | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VICE PRESIDENT, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VICE PRESIDENT, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VICE PRESIDENT, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VICE PRESIDENT, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VICE PRESIDENT, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOERICK, DEIRDRE, BRODERICK | I | SR. VP, CCO | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| KOLLAR, Michael, MARK | I | EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| Leckey, Kathleen, Kinslow | I | PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | TREASURER | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | TREASURER | NA | Control |
| MARR, NORMAN, MARK | I | TREASURER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | TREASURER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | TREASURER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARR, NORMAN, MARK | I | VP, CHIEF FINANCIAL OFFICER, ASSISTANT SECRETARY | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MARR, NORMAN, MARK | I | SR. VP, CFO | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VICE PRESIDENT | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VICE PRESIDENT | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VICE PRESIDENT | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VICE PRESIDENT | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VICE PRESIDENT | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | VP, CHIEF INVESTMENT OFFICER | NA | Control |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SR. VP, INVESTMENT RESEARCH | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MAYHEW, STEPHEN, THOMAS | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| MEHROTRA, SHASHI | I | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| MEHROTRA, SHASHI | I | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | NA | |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MENDELSON, PAUL, Steven | I | INTERIM CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | VICE PRESIDENT | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | VICE PRESIDENT | NA | Control |
| MURPHY, THOMAS, G | I | VICE PRESIDENT | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | VICE PRESIDENT | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | VICE PRESIDENT | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | VP, CHIEF OPERATIONS OFFICER | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, G | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, Gerard | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, Gerard | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, Gerard | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, Gerard | I | SR. VP, COO | NA | Control |
| MURPHY, THOMAS, Gerard | I | SR. VP, COO | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| Mattson, Maureen, Ann | I | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| McCarthy, Diane, Mulherrin | I | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | NA | Control |
| O'LEARY, KEVIN | I | EXECUTIVE VICE PRESIDENT AND CHIEF REVENUE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | EXECUTIVE VICE PRESIDENT AND CHIEF REVENUE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | EXECUTIVE VICE PRESIDENT AND CHIEF REVENUE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| O'LEARY, KEVIN, JOSEPH | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| OBERLIES, SUSAN, MARY | I | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | DIRECTOR | NA | |
| ONEILL, KAREN, A | I | SECRETARY, DIRECTOR | NA | |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| Shivers, Raymond, Paul | I | SR VICE-PRESIDENT, OPERATIONS AND TECHNOLOGY / CHIEF OPERATING OFFICER | NA | Control |
| FORST, EDWARD | I | OWNER | E | Control |
| FORST, EDWARD | I | OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | DE | MEMBER, DIRECT OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | E | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | DE | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | D | Control |
Registrations
Federal
IA
Sep 9, 2025 REGISTERED
Notice Filings (52)
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