APPLETON PARTNERS INC

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Appleton Partners is based out of Boston. Appleton Partners is a large advisory firm with 5470 clients and discretionary assets under management (AUM) of $11,188,326,079 (Form ADV from 2019-10-01). Their last reported 13F filing for Q1 2020 included $721,677,000 in managed 13F securities and a top 10 holdings concentration of 29.77%. Appleton Partners's largest holding is Apple Inc with shares held of 146,786. Appleton Partners has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 78 13F filings

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03/31/2020

13F Activity

  • Market Value $721.677 Million
  • Prior Market Value $910.362 Million
  • New Purchases10 stocks
  • Additional Purchases64 stocks
  • Sold out of42 stocks
  • Reduced holdings in165 stocks
  • Top 10 Holdings % 29.77 %
  • Turnover % [1]:20.16%
  • Turnover Alt % [2]: 8.78 %
  • Time Held Top20:17.05 quarters
  • Time Held Top10:16.80 quarters
  • Time Held All:21.05 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.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

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

Performance for Q1 2020: 26.38%
Performance Last 4 Quarters: 9.16%
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

APPLETON PARTNERS, INC.
ONE POST OFFICE SQUARE 20TH FLOOR
BOSTON MA    02109
Country: United States

Business Phone: 617-338-0700
Fax: 617-338-2379
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: MA
Number of employees: 51
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 1,420,400,000
Total Number of Clients: 5470
Amount of client funds and securities by related persons: 41,307,800
Total Number of clients from related persons: 13
Disclosures:
Data above was derived from SEC filings.

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APPLETON PARTNERS, INC.

ownership team - last updated 2020-06-23
Name Title Start Date Direct/Indirect % Ownership
BURGE, KATHLEEN, MARY EXEC VICE PRESIDENT,CFO, DIRECTOR 10/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA SENIOR VICE PRESIDENT, COO 08/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
NEEDHAM, ROBERT, B DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEEDHAM R B ADVISORY CORP PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1985-10-01
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
NEEDHAM R B ADVISORY CORP PRESIDENT direct 1985-10-01 2005-03-28
NOVACK, KENNETH, JOSEPH DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
GB MERCHANT PARTNERS, LLC MANAGER indirect 2011-07-01
CHEVRIERE, J.P. DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
PETTY, WILLIAM, TERRELL DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
HUBLEY, MICHELE, DAWN SVP, CHIEF COMPLIANCE OFFICER 05/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC VP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
APPLETON PARTNERS INC SVP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
CHAMBERLAIN, DOUGLAS, CAMPBELL PRESIDENT, CEO, DIRECTOR 10/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
WILLIAMS, MARK, THOMAS DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2010-11-01
FRONTLIGHT CAPITAL LP CHIEF RISK OFFICER/PARTNER direct 2015-02-01
COSTELLO, MICHAEL DIRECTOR 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2012-11-01
APPLETON PARTNERS BUSINESS TRUST BUSINESS TRUST 08/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC BUSINESS TRUST direct 2000-01-01
APPLETON PARTNERS INC BUSINESS TRUST direct 2001-08-01
TRACY, BONNIE, BROPHY DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2016-01-01
BURGE, KATHLEEN, MARY TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
CHAMBERLAIN, DOUGLAS, CAMPBELL TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01

APPLETON PARTNERS INC

ownership team - last updated 2020-03-17
Name Title Start Date Direct/Indirect % Ownership

APPLETON PARTNERS INC

ownership team - last updated 2019-05-29
Name Title Start Date Direct/Indirect % Ownership
BURGE, KATHLEEN, MARY EXEC VICE PRESIDENT,CFO, DIRECTOR 10/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA SENIOR VICE PRESIDENT, COO 08/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
NEEDHAM, ROBERT, B DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEEDHAM R B ADVISORY CORP PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1985-10-01
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
NEEDHAM R B ADVISORY CORP PRESIDENT direct 1985-10-01 2005-03-28
IVES, CORNELIA, SPENCER DIRECTOR 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1995-11-01
NOVACK, KENNETH, JOSEPH DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
GB MERCHANT PARTNERS, LLC MANAGER indirect 2011-07-01
CHEVRIERE, J.P. DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
PETTY, WILLIAM, TERRELL DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
HUBLEY, MICHELE, DAWN SVP, CHIEF COMPLIANCE OFFICER 05/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC VP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
APPLETON PARTNERS INC SVP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
CHAMBERLAIN, DOUGLAS, CAMPBELL PRESIDENT, CEO, DIRECTOR 10/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
WILLIAMS, MARK, THOMAS DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2010-11-01
FRONTLIGHT CAPITAL LP CHIEF RISK OFFICER/PARTNER direct 2015-02-01
COSTELLO, MICHAEL DIRECTOR 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2012-11-01
APPLETON PARTNERS BUSINESS TRUST BUSINESS TRUST 08/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC BUSINESS TRUST direct 2000-01-01
APPLETON PARTNERS INC BUSINESS TRUST direct 2001-08-01
TRACY, BONNIE, BROPHY DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2016-01-01
BURGE, KATHLEEN, MARY TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
CHAMBERLAIN, DOUGLAS, CAMPBELL TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01

APPLETON PARTNERS INC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
BURGE, KATHLEEN, MARY EXEC VICE PRESIDENT,CFO, DIRECTOR 10/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA SENIOR VICE PRESIDENT, COO 08/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
NEEDHAM, ROBERT, B DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEEDHAM R B ADVISORY CORP PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1985-10-01
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
NEEDHAM R B ADVISORY CORP PRESIDENT direct 1985-10-01 2005-03-28
IVES, CORNELIA, SPENCER DIRECTOR 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1995-11-01
NOVACK, KENNETH, JOSEPH DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
GB MERCHANT PARTNERS, LLC MANAGER indirect 2011-07-01
CHEVRIERE, J.P. DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
PETTY, WILLIAM, TERRELL DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
HUBLEY, MICHELE, DAWN SVP, CHIEF COMPLIANCE OFFICER 05/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC VP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
APPLETON PARTNERS INC SVP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
CHAMBERLAIN, DOUGLAS, CAMPBELL PRESIDENT, CEO, DIRECTOR 10/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
WILLIAMS, MARK, THOMAS DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2010-11-01
FRONTLIGHT CAPITAL LP CHIEF RISK OFFICER/PARTNER direct 2015-02-01
COSTELLO, MICHAEL DIRECTOR 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2012-11-01
APPLETON PARTNERS BUSINESS TRUST BUSINESS TRUST 08/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC BUSINESS TRUST direct 2000-01-01
APPLETON PARTNERS INC BUSINESS TRUST direct 2001-08-01
TRACY, BONNIE, BROPHY DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2016-01-01
BURGE, KATHLEEN, MARY TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
CHAMBERLAIN, DOUGLAS, CAMPBELL TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01

APPLETON PARTNERS INC

ownership team - last updated 2017-03-23
Name Title Start Date Direct/Indirect % Ownership
BURGE, KATHLEEN, MARY EXEC VICE PRESIDENT,CFO, DIRECTOR 10/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA SENIOR VICE PRESIDENT, COO 08/01/1999 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
NEEDHAM, ROBERT, B DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEEDHAM R B ADVISORY CORP PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1985-10-01
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
NEEDHAM R B ADVISORY CORP PRESIDENT direct 1985-10-01 2005-03-28
IVES, CORNELIA, SPENCER DIRECTOR 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1995-11-01
NOVACK, KENNETH, JOSEPH DIRECTOR 11/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 1988-11-01
GB MERCHANT PARTNERS, LLC MANAGER indirect 2011-07-01
CHEVRIERE, J.P. DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
PETTY, WILLIAM, TERRELL DIRECTOR 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2001-11-01
HUBLEY, MICHELE, DAWN SVP, CHIEF COMPLIANCE OFFICER 05/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC VP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
APPLETON PARTNERS INC SVP, CHIEF COMPLIANCE OFFICER direct 2004-05-01
CHAMBERLAIN, DOUGLAS, CAMPBELL PRESIDENT, CEO, DIRECTOR 10/01/1998 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
WILLIAMS, MARK, THOMAS DIRECTOR 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2010-11-01
FRONTLIGHT CAPITAL LP CHIEF RISK OFFICER/PARTNER direct 2015-02-01
COSTELLO, MICHAEL DIRECTOR 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2012-11-01
APPLETON PARTNERS BUSINESS TRUST BUSINESS TRUST 08/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC BUSINESS TRUST direct 2000-01-01
APPLETON PARTNERS INC BUSINESS TRUST direct 2001-08-01
ZAGROBSKI, WALTER SVP, PORTFOLIO MANAGER 09/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SVP, PORTFOLIO MANAGER direct 1997-09-01
TRACY, BONNIE, BROPHY DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC DIRECTOR direct 2016-01-01
BURGE, KATHLEEN, MARY TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC EXEC VICE PRESIDENT,CFO, DIRECTOR direct 1988-10-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC EXECUTIVE VICE PRESIDENT, CFO direct 1998-10-01 2003-05-07
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01 2013-10-04
LADGE, JAMES, IRA TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, COO direct 1999-08-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 2000-08-01 2003-05-07
APPLETON PARTNERS INC SENIOR VICE PRESIDENT, CIO direct 1999-08-01 2010-03-30
CHAMBERLAIN, DOUGLAS, CAMPBELL TRUSTEE, APPLETON PARTNERS BUSINESS TRUST APPLETON PARTNERS BUSINESS TRUST 08/01/2001 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
APPLETON PARTNERS INC PRESIDENT, CEO, DIRECTOR direct 1998-10-01
APPLETON PARTNERS INC UNIT TRUST SHAREHOLDER indirect 2000-01-01
APPLETON PARTNERS INC TRUSTEE, APPLETON PARTNERS BUSINESS TRUST indirect 2001-08-01

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