CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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Cambridge Investment Research Advisors is based out of Fairfield. Cambridge Investment Research Advisors is a large advisory firm with 196039 clients and discretionary assets under management (AUM) of $37,967,630,726 (Form ADV from 2018-05-01). Their last reported 13F filing for Q3 2019 included $11,392,183,000 in managed 13F securities and a top 10 holdings concentration of 17.81%. Cambridge Investment Research Advisors's largest holding is Vanguard S&P 500 ETF with shares held of 1,703,240. Whalewisdom has at least 61 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $11.392 Billion
  • Prior Market Value $10.888 Billion
  • New Purchases260 stocks
  • Additional Purchases1130 stocks
  • Sold out of122 stocks
  • Reduced holdings in877 stocks
  • Top 10 Holdings % 17.81 %
  • Turnover % [1]:16.39%
  • Turnover Alt % [2]: 7.97 %
  • Time Held Top20:16.85 quarters
  • Time Held Top10:17.70 quarters
  • Time Held All:15.90 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.3%
Performance Last 4 Quarters: 14.64%
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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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
1776 PLEASANT PLAIN RD.
FAIRFIELD IA    52556-8757
Country: United States

Business Phone: 641-472-5100
Fax: 641-470-1294
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IA
Number of employees: 2857
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions,SOLICITATION FEES FROM 3RD PARTY MONEY MANAGERS
Amount of client funds and securities: 46,099,200,000
Total Number of Clients: 196039
Amount of client funds and securities by related persons: 46,099,200,000
Total Number of clients from related persons: 203960
Disclosures: 11.B (1),11.C (4),11.D (1),11.D (2),11.D (3),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ownership team - last updated 2019-09-18
Name Title Start Date Direct/Indirect % Ownership
SCHWARTZ, ERIC EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
WEBBER, AMY, LYNN PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. SR. VICE PRESIDENT/COO direct 2001-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/SECRETARY/CHIEF OPERATING OFFICER/DIRECTOR direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2015-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. VICE PRESIDENT direct 1998-12-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1998-12-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. SR. VICE PRESIDENT/COO direct 2001-01-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/COO direct 2001-01-01 2003-04-25
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER direct 2003-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y direct 2004-01-01 2004-08-12
WILDWOOD RETIREMENT PARTNERS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY direct 2004-03-01 2004-09-20
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y direct 2005-01-01 2005-01-11
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER direct 2005-01-01 2005-01-20
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2007-09-01 2014-02-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2014-03-01 2015-07-13
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/SEC'Y/DIRECTOR direct 2007-09-01 2017-01-05
CAMBRIDGE INVESTMENT GROUP, INC. SHAREHOLDER/HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
ENERIC FINANCIAL SERVICES, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
CAMBRIDGE RETIREMENT ADVISORS SHAREHOLDER/HOLDING COMPANY direct 2004-03-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER/HOLDING COMPANY direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2009-06-01
BELL, COLLEEN, MCGUIRE SENIOR VICE PRESIDENT, CHIEF FIDUCIARY SERVICE OFFICER,DIRECTOR 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/AML COMPLIANCE OFFICER direct 2008-08-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/CHIEF COMPLIANCE OFFICER direct 2010-11-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. FIRST VICE PRESIDENT FIDUCIARY SERVICES direct 2016-03-01
BOYLES, RICHARD, CHARLES SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP/TREASURER/DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP direct 2016-04-01
CONTINUITY PARTNERS GROUP, LLC CFO, FINOP direct 2016-04-01
LINCOLN FINANCIAL ADVISORS CORPORATION SECOND VICE PRESIDENT, CONTROLLER & FNOP direct 1999-06-01 2001-04-12
CITY SECURITIES CORPORATION EVP/CHIEF FINANCIAL OFFICER/FINOP direct 2001-11-01 2014-12-11
CITY SECURITIES CORPORATION EVP/CFO FINOP/COO/CCO direct 2001-11-01 2015-12-07
SELBERG, KYLE, RUSSELL SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER direct 2010-01-01
PRINCOR FINANCIAL SERVICES CORPORATION VICE PRESIDENT direct 1996-05-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION VP - MARKETING direct 2003-01-01 2006-03-23
VIVACQUA, JEFFREY, FRANCIS SR. VP MARKETING/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2015-12-01
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2000-09-01 2002-03-25
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2013-07-01 2015-07-13
MILLER, SETH, AARON SVP, RISK MGMT, GEN COUNSEL & CRO/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2016-06-01
BAXLEY, JOHN, DOUGLAS 1ST VICE PRESIDENT, FIDUCIARY SERVICES, CHIEF COMPLIANCE OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LANDOAK SECURITIES, LLC COMPLIANCE OFFICER, FINOP direct 2003-01-01
LANDOAK SECURITIES, LLC CCO, FINOP direct 2003-01-01
SSN ADVISORY, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2009-08-01
SSN ADVISORY, INC. VICE PRESIDENT, ASSISTANT DIRECTOR OF COMPLIANCE direct 2009-08-01
SCHWARTZ, ERIC TRUSTEE SCHWARTZ FAMILY TRUST 06/01/2003 Indirect Other
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
SCHWARTZ FAMILY TRUST SHAREHOLDER CAMBRIDGE INVESTMENT GROUP, INC. 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 2014-06-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2014-06-01

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ownership team - last updated 2019-06-27
Name Title Start Date Direct/Indirect % Ownership
SCHWARTZ, ERIC EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
WEBBER, AMY, LYNN PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. SR. VICE PRESIDENT/COO direct 2001-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/SECRETARY/CHIEF OPERATING OFFICER/DIRECTOR direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2015-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. VICE PRESIDENT direct 1998-12-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1998-12-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. SR. VICE PRESIDENT/COO direct 2001-01-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/COO direct 2001-01-01 2003-04-25
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER direct 2003-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y direct 2004-01-01 2004-08-12
WILDWOOD RETIREMENT PARTNERS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY direct 2004-03-01 2004-09-20
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y direct 2005-01-01 2005-01-11
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER direct 2005-01-01 2005-01-20
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2007-09-01 2014-02-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2014-03-01 2015-07-13
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/SEC'Y/DIRECTOR direct 2007-09-01 2017-01-05
CAMBRIDGE INVESTMENT GROUP, INC. SHAREHOLDER/HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
ENERIC FINANCIAL SERVICES, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
CAMBRIDGE RETIREMENT ADVISORS SHAREHOLDER/HOLDING COMPANY direct 2004-03-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER/HOLDING COMPANY direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2009-06-01
LONER, MELISSA, RILYNN VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
BELL, COLLEEN, MCGUIRE SENIOR VICE PRESIDENT, CHIEF FIDUCIARY SERVICE OFFICER,DIRECTOR 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/AML COMPLIANCE OFFICER direct 2008-08-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/CHIEF COMPLIANCE OFFICER direct 2010-11-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. FIRST VICE PRESIDENT FIDUCIARY SERVICES direct 2016-03-01
BOYLES, RICHARD, CHARLES SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP/TREASURER/DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP direct 2016-04-01
CONTINUITY PARTNERS GROUP, LLC CFO, FINOP direct 2016-04-01
LINCOLN FINANCIAL ADVISORS CORPORATION SECOND VICE PRESIDENT, CONTROLLER & FNOP direct 1999-06-01 2001-04-12
CITY SECURITIES CORPORATION EVP/CHIEF FINANCIAL OFFICER/FINOP direct 2001-11-01 2014-12-11
CITY SECURITIES CORPORATION EVP/CFO FINOP/COO/CCO direct 2001-11-01 2015-12-07
SELBERG, KYLE, RUSSELL SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER direct 2010-01-01
PRINCOR FINANCIAL SERVICES CORPORATION VICE PRESIDENT direct 1996-05-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION VP - MARKETING direct 2003-01-01 2006-03-23
VIVACQUA, JEFFREY, FRANCIS SR. VP MARKETING/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2015-12-01
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2000-09-01 2002-03-25
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2013-07-01 2015-07-13
MILLER, SETH, AARON SVP, RISK MGMT, GEN COUNSEL & CRO/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2016-06-01
SCHWARTZ, ERIC TRUSTEE SCHWARTZ FAMILY TRUST 06/01/2003 Indirect Other
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
SCHWARTZ FAMILY TRUST SHAREHOLDER CAMBRIDGE INVESTMENT GROUP, INC. 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 2014-06-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2014-06-01

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
SCHWARTZ, ERIC EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
WEBBER, AMY, LYNN PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. SR. VICE PRESIDENT/COO direct 2001-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/SECRETARY/CHIEF OPERATING OFFICER/DIRECTOR direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2015-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. VICE PRESIDENT direct 1998-12-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1998-12-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. SR. VICE PRESIDENT/COO direct 2001-01-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/COO direct 2001-01-01 2003-04-25
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER direct 2003-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y direct 2004-01-01 2004-08-12
WILDWOOD RETIREMENT PARTNERS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY direct 2004-03-01 2004-09-20
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y direct 2005-01-01 2005-01-11
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER direct 2005-01-01 2005-01-20
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2007-09-01 2014-02-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2014-03-01 2015-07-13
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/SEC'Y/DIRECTOR direct 2007-09-01 2017-01-05
CAMBRIDGE INVESTMENT GROUP, INC. SHAREHOLDER/HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
ENERIC FINANCIAL SERVICES, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
CAMBRIDGE RETIREMENT ADVISORS SHAREHOLDER/HOLDING COMPANY direct 2004-03-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER/HOLDING COMPANY direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2009-06-01
LONER, MELISSA, RILYNN VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
BELL, COLLEEN, MCGUIRE SENIOR VICE PRESIDENT, CHIEF FIDUCIARY SERVICE OFFICER,DIRECTOR 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/AML COMPLIANCE OFFICER direct 2008-08-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/CHIEF COMPLIANCE OFFICER direct 2010-11-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. FIRST VICE PRESIDENT FIDUCIARY SERVICES direct 2016-03-01
BOYLES, RICHARD, CHARLES SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP/TREASURER/DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP direct 2016-04-01
CONTINUITY PARTNERS GROUP, LLC CFO, FINOP direct 2016-04-01
LINCOLN FINANCIAL ADVISORS CORPORATION SECOND VICE PRESIDENT, CONTROLLER & FNOP direct 1999-06-01 2001-04-12
CITY SECURITIES CORPORATION EVP/CHIEF FINANCIAL OFFICER/FINOP direct 2001-11-01 2014-12-11
CITY SECURITIES CORPORATION EVP/CFO FINOP/COO/CCO direct 2001-11-01 2015-12-07
SELBERG, KYLE, RUSSELL SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER direct 2010-01-01
PRINCOR FINANCIAL SERVICES CORPORATION VICE PRESIDENT direct 1996-05-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION VP - MARKETING direct 2003-01-01 2006-03-23
VIVACQUA, JEFFREY, FRANCIS SR. VP MARKETING/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2015-12-01
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2000-09-01 2002-03-25
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2013-07-01 2015-07-13
MILLER, SETH, AARON SVP, RISK MGMT, GEN COUNSEL & CRO/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2016-06-01
SCHWARTZ, ERIC TRUSTEE SCHWARTZ FAMILY TRUST 06/01/2003 Indirect Other
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
SCHWARTZ FAMILY TRUST SHAREHOLDER CAMBRIDGE INVESTMENT GROUP, INC. 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 2014-06-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2014-06-01

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ownership team - last updated 2018-11-15
Name Title Start Date Direct/Indirect % Ownership
SCHWARTZ, ERIC EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
WEBBER, AMY, LYNN PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. SR. VICE PRESIDENT/COO direct 2001-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/SECRETARY/CHIEF OPERATING OFFICER/DIRECTOR direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2015-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. VICE PRESIDENT direct 1998-12-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1998-12-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. SR. VICE PRESIDENT/COO direct 2001-01-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/COO direct 2001-01-01 2003-04-25
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER direct 2003-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y direct 2004-01-01 2004-08-12
WILDWOOD RETIREMENT PARTNERS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY direct 2004-03-01 2004-09-20
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y direct 2005-01-01 2005-01-11
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER direct 2005-01-01 2005-01-20
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2007-09-01 2014-02-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2014-03-01 2015-07-13
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/SEC'Y/DIRECTOR direct 2007-09-01 2017-01-05
CAMBRIDGE INVESTMENT GROUP, INC. SHAREHOLDER/HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
ENERIC FINANCIAL SERVICES, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
CAMBRIDGE RETIREMENT ADVISORS SHAREHOLDER/HOLDING COMPANY direct 2004-03-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER/HOLDING COMPANY direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2009-06-01
SULLIVAN, JAMES, DANIEL EXECUTIVE VICE PRESIDENT/DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE RETIREMENT ADVISORS SR. VICE PRESIDENT, BUSINESS DEVELOPMENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, MARKETING/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXECUTIVE VICE PRESIDENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, BUSINESS DEVELOPMENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT/DIRECTOR direct 2006-07-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01
LONER, MELISSA, RILYNN VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
BELL, COLLEEN, MCGUIRE SENIOR VICE PRESIDENT, CHIEF FIDUCIARY SERVICE OFFICER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/AML COMPLIANCE OFFICER direct 2008-08-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/CHIEF COMPLIANCE OFFICER direct 2010-11-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. FIRST VICE PRESIDENT FIDUCIARY SERVICES direct 2016-03-01
BOYLES, RICHARD, CHARLES SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP/TREASURER/DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP direct 2016-04-01
CONTINUITY PARTNERS GROUP, LLC CFO, FINOP direct 2016-04-01
LINCOLN FINANCIAL ADVISORS CORPORATION SECOND VICE PRESIDENT, CONTROLLER & FNOP direct 1999-06-01 2001-04-12
CITY SECURITIES CORPORATION EVP/CHIEF FINANCIAL OFFICER/FINOP direct 2001-11-01 2014-12-11
CITY SECURITIES CORPORATION EVP/CFO FINOP/COO/CCO direct 2001-11-01 2015-12-07
SELBERG, KYLE, RUSSELL SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER direct 2010-01-01
PRINCOR FINANCIAL SERVICES CORPORATION VICE PRESIDENT direct 1996-05-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION VP - MARKETING direct 2003-01-01 2006-03-23
VIVACQUA, JEFFREY, FRANCIS SR. VP MARKETING/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2015-12-01
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2000-09-01 2002-03-25
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2013-07-01 2015-07-13
MILLER, SETH, AARON SVP, RISK MGMT, GEN COUNSEL & CRO/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2016-06-01
SCHWARTZ, ERIC TRUSTEE SCHWARTZ FAMILY TRUST 06/01/2003 Indirect Other
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
SCHWARTZ FAMILY TRUST SHAREHOLDER CAMBRIDGE INVESTMENT GROUP, INC. 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 2014-06-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2014-06-01

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ownership team - last updated 2018-05-15
Name Title Start Date Direct/Indirect % Ownership
SCHWARTZ, ERIC EXECUTIVE CHAIRMAN OF THE BOARD OF DIRECTORS 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
WEBBER, AMY, LYNN PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. SR. VICE PRESIDENT/COO direct 2001-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/SECRETARY/CHIEF OPERATING OFFICER/DIRECTOR direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2015-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/SEC'Y/DIRECTOR direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. VICE PRESIDENT direct 1998-12-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1998-12-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. SR. VICE PRESIDENT/COO direct 2001-01-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/COO direct 2001-01-01 2003-04-25
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/COO/SEC'Y/CHIEF COMPLIANCE OFFICER direct 2003-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y direct 2004-01-01 2004-08-12
WILDWOOD RETIREMENT PARTNERS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY direct 2004-03-01 2004-09-20
CAMBRIDGE INVESTMENT RESEARCH, INC. EXEC VP/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/SEC'Y direct 2005-01-01 2005-01-11
CAMBRIDGE RETIREMENT ADVISORS EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SECRETARY/CHIEF COMPLIANCE OFFICER direct 2005-01-01 2005-01-20
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXEC VICE PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF OPERATING OFFICER/SEC'Y/DIRECTOR direct 2007-09-01 2014-02-12
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2014-03-01 2015-07-13
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/SEC'Y/DIRECTOR direct 2007-09-01 2017-01-05
CAMBRIDGE INVESTMENT GROUP, INC. SHAREHOLDER/HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
ENERIC FINANCIAL SERVICES, INC. SHAREHOLDER/HOLDING COMPANY direct 1997-06-01
CAMBRIDGE RETIREMENT ADVISORS SHAREHOLDER/HOLDING COMPANY direct 2004-03-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER/HOLDING COMPANY direct 2005-01-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2009-06-01
SULLIVAN, JAMES, DANIEL EXECUTIVE VICE PRESIDENT/DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE RETIREMENT ADVISORS SR. VICE PRESIDENT, BUSINESS DEVELOPMENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, MARKETING/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. EXECUTIVE VICE PRESIDENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, BUSINESS DEVELOPMENT/DIRECTOR direct 2006-07-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT/DIRECTOR direct 2006-07-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-11-01
LONER, MELISSA, RILYNN VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KAISER WEALTH MANAGEMENT VP, COMPLIANCE/OPERATIONS direct 2009-08-01
KAISER WEALTH MANAGEMENT VP COMPLIANCE/OPERATIONS/CHIEF COMPLIANCE OFFICER direct 2010-02-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. VICE PRESIDENT, FIDUCIARY SERVICES/CHIEF COMPLIANCE OFFICER direct 2016-01-01
BELL, COLLEEN, MCGUIRE SENIOR VICE PRESIDENT, CHIEF FIDUCIARY SERVICE OFFICER 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/AML COMPLIANCE OFFICER direct 2008-08-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. AVP, COMPLIANCE/CHIEF COMPLIANCE OFFICER direct 2010-11-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. FIRST VICE PRESIDENT FIDUCIARY SERVICES direct 2016-03-01
BOYLES, RICHARD, CHARLES SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP/TREASURER/DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SR. VICE PRESIDENT, FINANCE & HUMAN RESOURCES/FINOP direct 2016-04-01
CONTINUITY PARTNERS GROUP, LLC CFO, FINOP direct 2016-04-01
LINCOLN FINANCIAL ADVISORS CORPORATION SECOND VICE PRESIDENT, CONTROLLER & FNOP direct 1999-06-01 2001-04-12
CITY SECURITIES CORPORATION EVP/CHIEF FINANCIAL OFFICER/FINOP direct 2001-11-01 2014-12-11
CITY SECURITIES CORPORATION EVP/CFO FINOP/COO/CCO direct 2001-11-01 2015-12-07
SELBERG, KYLE, RUSSELL SVP, BUS DEV & CHIEF BUS DEV OFFICER/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER direct 2010-01-01
PRINCOR FINANCIAL SERVICES CORPORATION VICE PRESIDENT direct 1996-05-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION VP - MARKETING direct 2003-01-01 2006-03-23
VIVACQUA, JEFFREY, FRANCIS SR. VP MARKETING/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC PRESIDENT/DIRECTOR direct 2015-12-01
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2000-09-01 2002-03-25
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2013-07-01 2015-07-13
MILLER, SETH, AARON SVP, RISK MGMT, GEN COUNSEL & CRO/DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2016-06-01
SCHWARTZ, ERIC TRUSTEE SCHWARTZ FAMILY TRUST 06/01/2003 Indirect Other
Fund Name Position direct/indirect start date end date
ENERIC FINANCIAL SERVICES, INC. PRESIDENT/CEO/DIRECTOR/FINOP direct 1994-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. SHAREHOLDER indirect 1997-06-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2001-09-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST direct 2003-06-01
WILDWOOD RETIREMENT PARTNERS PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/DIRECTOR direct 2004-03-01
CONTINUITY PARTNERS GROUP, LLC CEO & DIRECTOR direct 2010-01-01
CONTINUITY PARTNERS GROUP, LLC EXECUTIVE indirect 2014-12-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2017-01-01
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT direct 1995-10-01 2000-11-09
ENERIC FINANCIAL SERVICES, INC. PRESIDENT direct 1994-06-01 2001-02-27
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR/FIN OP direct 1995-10-01 2001-03-30
CAMBRIDGE INVESTMENT RESEARCH, INC. PRESIDENT/CEO/DIRECTOR direct 2001-09-01 2003-11-26
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2005-01-01 2007-09-12
CONTINUITY PARTNERS GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2009-06-01 2009-10-28
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 1997-06-01 2009-12-22
CONTINUITY PARTNERS GROUP, LLC DIRECTOR direct 2009-06-01 2009-12-22
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 1997-06-01 2012-10-01
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. TRUSTEE indirect 2003-06-01 2014-03-28
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2014-05-01
CONTINUITY PARTNERS GROUP, LLC TRUSTEE indirect 2003-06-01 2015-07-08
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. CHIEF EXECUTIVE OFFICER/CHAIRMAN, BOARD OF DIRECTORS direct 2007-09-01 2017-01-05
SCHWARTZ FAMILY TRUST SHAREHOLDER CAMBRIDGE INVESTMENT GROUP, INC. 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. SHAREHOLDER indirect 2014-06-01
CONTINUITY PARTNERS GROUP, LLC SHAREHOLDER indirect 2014-06-01

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