NEXT FINANCIAL GROUP, INC.
CRD #46214 SEC #801-56786 HOUSTON, TX 877-876-6398
SEC Registered Broker-Dealer Disclosures
Total AUM
$3.8B
Discretionary
$3.7B
Employees
564
Clients
251
Accounts
16,805
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Virginia
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 4, 2025
- Branch Offices
- 225
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBINO, JASON | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON | I | CHIEF COMPLIANCE OFFICER | NA | |
| AULD, JEFFREY MICHAEL | I | PRESIDENT/CEO | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT/CEO | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT/CEO | NA | Control |
| BROOKS, MARK STANLEY | I | VP FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | VP/CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BROOKS, MARK STANLEY | I | CFO/FINOP | NA | Control |
| BURKOTT, DANIEL PAUL | I | CCO | NA | |
| BURKOTT, DANIEL PAUL | I | CCO | NA | |
| CATCHING, AMY MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CATCHING, AMY MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| COWAN, CARY JOEL SR | I | DIRECTOR | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| DEFLOREO, RITA CAROL | I | INTERIM CCO | NA | Control |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEMARINO, DEBORAH KAY | I | VP | NA | |
| DEVES, JOHN PAUL | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | Control |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| ELIAS JR, EUGENE HENRI | I | DIRECTOR | NA | |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | VP,CCO,CROP | NA | Control |
| EYSTER, KAREN RUTH | I | DIRECTOR OF STRATEGIC DEVELOPMENT | NA | Control |
| EYSTER, KAREN RUTH | I | DIRECTOR OF STRATEGIC DEVELOPMENT | NA | Control |
| EYSTER, KAREN RUTH | I | DIRECTOR OF STRATEGIC DEVELOPMENT | NA | Control |
| EYSTER, KAREN RUTH | I | VP,CCO,CROP | NA | Control |
| EYSTER, KAREN RUTH | I | VP,CCO,CROP | NA | Control |
| EYSTER, KAREN RUTH | I | DIRECTOR OF STRATEGIC DEVELOPMENT | NA | Control |
| EYSTER, KAREN RUTH | I | DIRECTOR OF STRATEGIC DEVELOPMENT | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| EYSTER, KAREN RUTH | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FARR, ARTHUR DANIEL | I | DIRECTOR | NA | Control |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| FUENTES, MARCO A | I | CCO | NA | |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | NA | Control |
| HAWLEY, AMANDA CANDELMO | I | CORPORATE SECRETARY | NA | Control |
| HAWLEY, AMANDA CANDELMO | I | CORPORATE SECRETARY | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, DAVID LEE | I | DIRECTOR | NA | Control |
| HOLTZ, TIMOTHY JAMES | I | SHAREHOLDER IRA | NA | |
| HOLTZ, TIMOTHY JAMES | I | SHAREHOLDER IRA | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| JALLANS, LESLIE BERNARD | I | CCO | NA | |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KETTERER, DOUGLAS JOHN | I | DIRECTOR | NA | Control |
| KLEIN, GARY ALAN | I | LEGAL COUNSEL | NA | Control |
| KLEIN, GARY ALAN | I | LEGAL COUNSEL | NA | Control |
| KLEIN, GARY ALAN | I | LEGAL COUNSEL | NA | Control |
| KLEIN, GARY ALAN | I | LEGAL COUNSEL | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | INTERIM CCO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | INTERIM CCO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | INTERIM CCO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | INTERIM CCO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY G | I | INTERIM CCO | NA | Control |
| KNIGHT, BARRY G | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| KNIGHT, BARRY GLENN | I | PRESIDENT/DIRECTOR | NA | Control |
| LEVITT, ROBERT WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| LEVITT, ROBERT WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| LEVITT, ROBERT WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| LORENCE, JAMES PHILLIP | I | DIRECTOR | NA | Control |
| LORENCE, JAMES PHILLIP | I | SHAREHOLDER | NA | Control |
| LORENCE, JAMES PHILLIP | I | SHAREHOLDER | NA | Control |
| MCGIVNEY, JOHN MICHAEL | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | |
| MCGIVNEY, JOHN MICHAEL | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | |
| MCGIVNEY, JOHN MICHAEL | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | |
| MCRARY, GLEN ALLEN | I | VP/BUSINESS DEVELOPMENT | NA | Control |
| MCRARY, GLEN ALLEN | I | VP/BUSINESS DEVELOPMENT | NA | Control |
| MOHR, GERALD CHARLES | I | VICE PRESIDENT OF OPERATIONS/SROP | NA | Control |
| MOHR, GERALD CHARLES | I | VICE PRESIDENT OF OPERATIONS/SROP | NA | Control |
| MOHR, GERALD CHARLES | I | VICE PRESIDENT OF OPERATIONS/SROP | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP OF OPERATIONS | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | Control |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| MUELLER, CHRISTOPHER BRIAN | I | SVP CHIEF OPERATIONS OFFICER | NA | |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SALINE, JEFFREY JUDD | I | DIRECTOR | NA | Control |
| SCHLANGEN, ROBERT PHILIP | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLANGEN, ROBERT PHILIP | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLANGEN, ROBERT PHILIP | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLANGEN, ROBERT PHILIP | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHLANGEN, ROBERT PHILIP | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHUMANN, ALEXIS V | I | CHIEF COMPLIANCE OFFICER | NA | |
| SCHUMANN, ALEXIS V | I | CHIEF COMPLIANCE OFFICER | NA | |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SHAH, AMI | I | GENERAL COUNSEL | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SMITH, PHILIP FRANCIS | I | CFO/FINOP | NA | Control |
| SVENTKO, MICHAEL STEPHEN | I | RIA COMPLIANCE OFFICER/CROP | NA | |
| SVENTKO, MICHAEL STEPHEN | I | RIA COMPLIANCE OFFICER/CROP | NA | |
| SVENTKO, MICHAEL STEPHEN | I | RIA COMPLIANCE OFFICER/CROP | NA | |
| SVENTKO, MICHAEL STEPHEN | I | RIA COMPLIANCE OFFICER/CROP | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, CHRISTIAN GABRIEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAYLOR, DONALD | I | CFO | NA | |
| TAYLOR, DONALD | I | CFO | NA | |
| TAYLOR, DONALD | I | CFO | NA | |
| TAYLOR, DONALD | I | CFO | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| TYMKIW, TRISHA LYNN | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| WHITE, LAURA NICOLE | I | ADVISORY CHIEF COMPLIANCE OFFICER | NA | |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS INC. | DE | SHAREHOLDER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| NEXT FINANCIAL HOLDINGS, INC. | DE | OWNER | E | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | B | Control |
| DANGELO, GORDON RALPH | I | CHAIRMAN OF THE BOARD/ IRA | B | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | A | Control |
| GRANT, NORMAN CARL JR | I | DIRECTOR | A | Control |
| GURVEY, LESLIE DEAN | I | SHAREHOLDER | A | |
| GURVEY, LESLIE DEAN | I | SHAREHOLDER | A | |
| HOLLINGSWORTH, MARK GOODWIN | I | SHAREHOLDER | A | |
| HOLLINGSWORTH, MARK GOODWIN | I | SHAREHOLDER | A | |
| LORENCE & ASSOCIATES PCP | DE | SHAREHOLDER | A | |
| LORENCE & ASSOCIATES PCP | DE | SHAREHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| LEE EQUITY PARTNERS II GP, LLC | DE | LEE EQUITY PARTNERS FUND II, L.P. | F | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| ATRIA WEALTH SOLUTIONS, INC. | DE | AWS 5, INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| AWS 5, INC. | DE | NEXT FINANCIAL HOLDINGS INC. | E | Control |
| LPL FINANCIAL HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL HOLDINGS, INC. | DE | ATRIA WEALTH SOLUTIONS, INC. | E | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEE EQUITY PARTNERS FUND II(A), L.P. | DE | LEP ATRIA HOLDINGS, LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | D | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | DE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | FE | LEE EQUITY PARTNERS FUND II(A), L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| DOVER STREET VIII L.P. | DE | LEE EQUITY PARTNERS FUND II, L.P. | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEE EQUITY PARTNERS FUND II, L.P. | DE | LEP ATRIA HOLDINGS, LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
| LEP ATRIA HOLDINGS, LLC | DE | ATRIA WEALTH SOLUTIONS HOLDINGS LLC | C | Control |
Registrations
Federal
IA
Aug 4, 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
11740 KATY FREEWAYSUITE 600
HOUSTON, TX 77079
United States
Phone: 877-876-6398