AE WEALTH MANAGEMENT LLC

https://www.aewealthmanagement.com TOPEKA, KS Investment Advisor How do I update this listing?

AE Wealth Management is based out of Topeka. AE Wealth Management is a large advisory firm with 39483 clients and discretionary assets under management (AUM) of $8,583,746,349 (Form ADV from 2020-03-30). Their last reported 13F filing for Q1 2020 included $4,351,549,000 in managed 13F securities and a top 10 holdings concentration of 26.82%. AE Wealth Management's largest holding is iShares Short Treasury Bond ETF with shares held of 2,358,557. Whalewisdom has at least 14 13F filings

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06/30/2020

13F Activity

  • Market Value $6.47 Billion
  • Prior Market Value $4.352 Billion
  • New Purchases285 stocks
  • Additional Purchases642 stocks
  • Sold out of134 stocks
  • Reduced holdings in311 stocks
  • Top 10 Holdings % 23.47 %
  • Turnover % [1]:33.20%
  • Turnover Alt % [2]: 33.38 %
  • Time Held Top20:3.65 quarters
  • Time Held Top10:3.10 quarters
  • Time Held All:5.42 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 19.51%
Performance Last 4 Quarters: 3.85%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

AE WEALTH MANAGEMENT, LLC
2950 SW MCCLURE ROAD SUITE B
TOPEKA KS    66614
Country: United States

Business Phone: 866-363-9595
Fax: 785-271-1448
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: KS
Number of employees: 475
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 39483
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (1),11.D (1),11.D (2),11.D (3),11.D (4),11.D (5),11.E (1),11.F,11.G,11.H (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-06-17
Name Title Start Date Direct/Indirect % Ownership
WOLFE, DAVID, ROBB GENERAL COUNSEL AND SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC GENERAL COUNSEL direct 2015-12-01
DDC HOLDINGS LLC LLC MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECT OWNER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2015-12-01
CALLANAN, DAVID, JAMES CHIEF EXECUTIVE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
FINISHRICH MEDIA, LLC LLC MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2016-07-01
JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
RADFORD, CHRISTOPHER, BLAKE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-06-01
SPELMAN & CO., INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
SENTRA SECURITIES CORPORATION SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
WM FINANCIAL SERVICES, INC. DIRECTOR OF SALES direct 2000-07-01 2002-05-28
SUNAMERICA SECURITIES, INC. VP direct 2002-06-01 2002-10-10
SENTRA SECURITIES CORPORATION V P direct 2002-09-01 2002-10-10
SPELMAN & CO., INC. VP direct 2002-09-01 2002-10-10
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER direct 2004-09-01 2006-08-07
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER, SROP direct 2004-09-01 2007-04-30
VSR FINANCIAL SERVICES, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2007-06-01 2008-05-08
VSR FINANCIAL SERVICES, INC. PRESIDENT direct 2007-06-01 2008-09-08
VSR FINANCIAL SERVICES, INC. CEO, PRESIDENT direct 2009-07-01 2009-11-11
VSR FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, CEO, PRESIDENT direct 2009-07-01 2010-04-12
VSR FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2009-07-01 2010-09-07
Klotz, Amy, Michelle CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
STARKMAN, KRISTINE, ALANE CHIEF COMPLIANCE OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUESTAR ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2017-09-01
CALLANAN, DAVID, JAMES MANAGING MEMBER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
FOSTER, CODY, GRANT OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES TRUSTEE KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
BACH, DAVID, LOUIS LLC MEMBER FINISHRICH MEDIA, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER indirect 2004-12-01
FOSTER, CODY, GRANT TRUSTEE JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01

AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-09-04
Name Title Start Date Direct/Indirect % Ownership
WOLFE, DAVID, ROBB GENERAL COUNSEL AND SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC GENERAL COUNSEL direct 2015-12-01
DDC HOLDINGS LLC LLC MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECT OWNER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2015-12-01
CALLANAN, DAVID, JAMES CHIEF EXECUTIVE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
FINISHRICH MEDIA, LLC LLC MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2016-07-01
JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
RADFORD, CHRISTOPHER, BLAKE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-06-01
SPELMAN & CO., INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
SENTRA SECURITIES CORPORATION SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
WM FINANCIAL SERVICES, INC. DIRECTOR OF SALES direct 2000-07-01 2002-05-28
SUNAMERICA SECURITIES, INC. VP direct 2002-06-01 2002-10-10
SENTRA SECURITIES CORPORATION V P direct 2002-09-01 2002-10-10
SPELMAN & CO., INC. VP direct 2002-09-01 2002-10-10
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER direct 2004-09-01 2006-08-07
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER, SROP direct 2004-09-01 2007-04-30
VSR FINANCIAL SERVICES, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2007-06-01 2008-05-08
VSR FINANCIAL SERVICES, INC. PRESIDENT direct 2007-06-01 2008-09-08
VSR FINANCIAL SERVICES, INC. CEO, PRESIDENT direct 2009-07-01 2009-11-11
VSR FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, CEO, PRESIDENT direct 2009-07-01 2010-04-12
VSR FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2009-07-01 2010-09-07
Klotz, Amy, Michelle CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
STARKMAN, KRISTINE, ALANE CHIEF COMPLIANCE OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUESTAR ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2017-09-01
FOSTER, CODY, GRANT OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES MANAGING MEMBER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES TRUSTEE KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
BACH, DAVID, LOUIS LLC MEMBER FINISHRICH MEDIA, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER indirect 2004-12-01
FOSTER, CODY, GRANT TRUSTEE JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01

AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-04-10
Name Title Start Date Direct/Indirect % Ownership
WOLFE, DAVID, ROBB GENERAL COUNSEL AND SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC GENERAL COUNSEL direct 2015-12-01
DDC HOLDINGS LLC LLC MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECT OWNER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2015-12-01
CROOK, CALEB, DEAN CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
CALLANAN, DAVID, JAMES CHIEF EXECUTIVE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
FINISHRICH MEDIA, LLC LLC MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2016-07-01
JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
RADFORD, CHRISTOPHER, BLAKE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-06-01
SPELMAN & CO., INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
SENTRA SECURITIES CORPORATION SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
WM FINANCIAL SERVICES, INC. DIRECTOR OF SALES direct 2000-07-01 2002-05-28
SUNAMERICA SECURITIES, INC. VP direct 2002-06-01 2002-10-10
SENTRA SECURITIES CORPORATION V P direct 2002-09-01 2002-10-10
SPELMAN & CO., INC. VP direct 2002-09-01 2002-10-10
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER direct 2004-09-01 2006-08-07
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER, SROP direct 2004-09-01 2007-04-30
VSR FINANCIAL SERVICES, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2007-06-01 2008-05-08
VSR FINANCIAL SERVICES, INC. PRESIDENT direct 2007-06-01 2008-09-08
VSR FINANCIAL SERVICES, INC. CEO, PRESIDENT direct 2009-07-01 2009-11-11
VSR FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, CEO, PRESIDENT direct 2009-07-01 2010-04-12
VSR FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2009-07-01 2010-09-07
Klotz, Amy, Michelle CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CALLANAN, DAVID, JAMES MANAGING MEMBER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
FOSTER, CODY, GRANT OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES TRUSTEE KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
BACH, DAVID, LOUIS LLC MEMBER FINISHRICH MEDIA, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER indirect 2004-12-01
FOSTER, CODY, GRANT TRUSTEE JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01

AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
WOLFE, DAVID, ROBB GENERAL COUNSEL AND SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC GENERAL COUNSEL direct 2015-12-01
DDC HOLDINGS LLC LLC MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECT OWNER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2015-12-01
CROOK, CALEB, DEAN CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
CALLANAN, DAVID, JAMES CHIEF EXECUTIVE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
FINISHRICH MEDIA, LLC LLC MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2016-07-01
JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
RADFORD, CHRISTOPHER, BLAKE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-06-01
SPELMAN & CO., INC. SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
SENTRA SECURITIES CORPORATION SENIOR VICE PRESIDENT, NATIONAL SALES direct 2002-09-01
WM FINANCIAL SERVICES, INC. DIRECTOR OF SALES direct 2000-07-01 2002-05-28
SUNAMERICA SECURITIES, INC. VP direct 2002-06-01 2002-10-10
SENTRA SECURITIES CORPORATION V P direct 2002-09-01 2002-10-10
SPELMAN & CO., INC. VP direct 2002-09-01 2002-10-10
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER direct 2004-09-01 2006-08-07
AIG FINANCIAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER, SROP direct 2004-09-01 2007-04-30
VSR FINANCIAL SERVICES, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2007-06-01 2008-05-08
VSR FINANCIAL SERVICES, INC. PRESIDENT direct 2007-06-01 2008-09-08
VSR FINANCIAL SERVICES, INC. CEO, PRESIDENT direct 2009-07-01 2009-11-11
VSR FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, CEO, PRESIDENT direct 2009-07-01 2010-04-12
VSR FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER, PRESIDENT direct 2009-07-01 2010-09-07
Klotz, Amy, Michelle CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CALLANAN, DAVID, JAMES MANAGING MEMBER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
FOSTER, CODY, GRANT OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES TRUSTEE KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
BACH, DAVID, LOUIS LLC MEMBER FINISHRICH MEDIA, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER indirect 2004-12-01
FOSTER, CODY, GRANT TRUSTEE JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01

AE WEALTH MANAGEMENT, LLC

ownership team - last updated 2017-11-01
Name Title Start Date Direct/Indirect % Ownership
SCHILLING, NICHOLAS, PAUL CHIEF DISTRIBUTION OFFICER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC VICE PRESIDENT OF MARKETING direct 2015-12-01
AE WEALTH MANAGEMENT, LLC CHIEF DISTRIBUTION OFFICER direct 2015-12-01
WOLFE, DAVID, ROBB GENERAL COUNSEL 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC GENERAL COUNSEL direct 2015-12-01
DDC HOLDINGS LLC LLC MEMBER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECT OWNER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2015-12-01
CROOK, CALEB, DEAN CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
CALLANAN, DAVID, JAMES PRESIDENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
FINISHRICH MEDIA, LLC LLC MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER direct 2016-07-01
JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
CHRISTIN R. THOMPSON 2016 IRREVOCABLE TRUST A NON-VOTING LLC MEMBER 07/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC NON-VOTING LLC MEMBER direct 2016-07-01
CALLANAN, DAVID, JAMES MANAGING MEMBER DDC HOLDINGS LLC 12/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
THOMPSON, DEREK, JAMES OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
FOSTER, CODY, GRANT OWNER DDC HOLDINGS LLC 12/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
CALLANAN, DAVID, JAMES TRUSTEE KARLUN M. CALLANAN 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-02-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
BACH, DAVID, LOUIS LLC MEMBER FINISHRICH MEDIA, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AE WEALTH MANAGEMENT, LLC LLC MEMBER indirect 2004-12-01
FOSTER, CODY, GRANT TRUSTEE JENNIFER A. FOSTER 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2016-12-01
SAWTOOTH SOLUTIONS, LLC BOARD OF MANAGERS direct 2016-02-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01
THOMPSON, DEREK, JAMES TRUSTEE CHRISTIN R. THOMPSON 2016 IRREVOCABLE TRUST A 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MADISON AVENUE SECURITIES, LLC DIRECTOR direct 2015-03-01
MADISON AVENUE SECURITIES, LLC MEMBER direct 2015-03-01
MADISON AVENUE SECURITIES, LLC LLC MEMBER indirect 2016-12-01
AE WEALTH MANAGEMENT, LLC OWNER indirect 2015-12-01
AE WEALTH MANAGEMENT, LLC TRUSTEE indirect 2016-06-01

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