COLONY GROUP LLC

HTTPs://THECOLONYGROUP.COM BOSTON, MA Investment Advisor Hedge Fund How do I update this listing?

Also known as:

  • COLONY GROUP INC /MA/

Colony Group is based out of Boston. Colony Group is a large advisory firm with 2857 clients and discretionary assets under management (AUM) of $6,263,262,872 (Form ADV from 2018-10-01). Their last reported 13F filing for Q2 2019 included $3,155,473,000 in managed 13F securities and a top 10 holdings concentration of 16.79%. Colony Group's largest holding is iShares Core MSCI Total International Stock ETF with shares held of 1,290,008. Whalewisdom has at least 78 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $3.156 Billion
  • Prior Market Value $2.385 Billion
  • New Purchases118 stocks
  • Additional Purchases302 stocks
  • Sold out of33 stocks
  • Reduced holdings in231 stocks
  • Top 10 Holdings % 16.79 %
  • Turnover % [1]:20.86%
  • Turnover Alt % [2]: 24.69 %
  • Time Held Top20:7.20 quarters
  • Time Held Top10:5.20 quarters
  • Time Held All:8.36 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 2019-05-15

Performance for Q1 2019: 2.29%
Performance Last 4 Quarters: 8.71%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 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/A (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 (Subscription required)
  • 2012-03-31 - 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 (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/A (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 (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR/A (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

THE COLONY GROUP, LLC
Classified as Hedge Fund
2 ATLANTIC AVENUE
BOSTON MA    02110
Country: United States

Business Phone: 617-723-8200
Fax: 617-723-6338
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 160
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,TAX PREP, INVESTMENT/FINANCIAL COUNSELING SEMINARS
Amount of client funds and securities: 1,804,880,000
Total Number of Clients: 2857
Amount of client funds and securities by related persons: 1,804,880,000
Total Number of clients from related persons: 450
Disclosures: 11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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THE COLONY GROUP, LLC

ownership team - last updated 2019-05-21
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 10/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
NATHANSON, MICHAEL, JEFFREY CHAIRMAN & CEO 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC PRESIDENT, CHIEF FINANCIAL OFFICER & GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC MANAGER, CEO & PRESIDENT direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, & CFO direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, CFO AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-07-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER, GENERAL COUNSEL, & MANAGER direct 2005-05-01
JETA GROVE, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC PRESIDENT, CFO & MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER, CEO & PRESIDENT direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC CHAIRMAN, CEO & PRESIDENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT & CEO direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & DIRECTOR direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & MANAGER direct 2011-10-01
SADLER, STEPHEN, THOMAS MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC MANAGER & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER direct 2005-05-01
JETA GROVE, LLC MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1987-07-01 2006-03-30
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2006-04-18
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2007-07-26
THE COLONY GROUP, LLC MANAGER, PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2009-10-07
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2009-10-08
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & DIRECTOR direct 2011-10-01 2012-06-18
TALBOT, ELISABETH, LOUISE MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 1991-03-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC ACTING CHIEF INVESTMENT OFFICER/SR. FINANCIAL COUNSELOR direct 2004-10-01 2004-11-19
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1991-03-01 2006-03-30
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 1991-03-01 2009-10-07
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR, CHIEF MARKET STRATEGIST & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR, CHIEF MARKET STRATEGIST & DIRECTOR direct 2011-10-01 2012-06-18
BRADLEY, GINA, KULIG CHIEF OPERATING OFFICER & GENERAL COUNSEL 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SHARK CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2008-01-01
JETA GROVE, LLC GENERAL COUNSEL direct 2007-12-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2008-01-01
KATZ, BRIAN, WILLIAM PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP LLC PORTFOLIO MANAGER direct 2003-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER direct 2004-11-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER direct 2006-04-01
SHARK CAPITAL MANAGEMENT, LLC MANAGING DIRECTOR OF INVESTMENTS & SR. PORTFOLIO MANAGER direct 2005-05-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF INVESTMENT OFFICER direct 2006-12-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER direct 2011-10-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER & PRESIDENT OF COLONY INVESTMENT MANAGEMENT direct 2011-10-01
GRATCH, VINCENT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP LLC COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2004-09-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-05-01
JETA GROVE, LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2011-10-01
WHITE, JOHN, CHRISTOPHER CHIEF ADMINISTRATIVE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPGROUP ADVISORS, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2013-09-01
CAPGROUP ADVISORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (MEMBER OF MANAGEMENT TEAM) direct 2013-09-01
THE COLONY GROUP, LLC CHIEF ADMINISTRATIVE OFFICER direct 2015-03-01
STELLJES, STEPHEN, RAYMOND PRESIDENT OF CLIENT SERVICES 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC VICE PRESIDENT OF BUSINESS DEVELOPMENT direct 2006-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 2009-06-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT OF CLIENT SERVICES direct 2015-01-01
GLOVSKY, ROBERT, JAMES VICE CHAIR AND SENIOR WEALTH ADVISOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MINTZ LEVIN FINANCIAL ADVISORS LLC PRESIDENT direct 1998-10-01
THE COLONY GROUP, LLC VICE CHAIR AND SENIOR FINANCIAL COUNSELOR direct 2012-07-01
Feeney, Terri, Ann CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
RUBIN, RONALD, JOSEPH PRESIDENT, VICE CHAIRMAN, AND CHIEF CULTURAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1997-02-01
LEXINGTON/BRIDGEWATER WEALTH MANAGEMENT, LLC PRINCIPAL direct 2004-06-01
BRIDGEWATER WEALTH MANAGEMENT, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL direct 2010-01-01
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT direct 1997-02-01 2003-02-18
BRIDGEWATER WEALTH MANAGEMENT, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01 2005-05-18
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MANAGING PARTNER/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2010-02-16
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2015-07-30
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL / CHIEF COMPLIANCE OFFICER direct 2010-01-01 2016-07-20
STEINBERG, RICHARD, DAVID CHIEF MARKET STRATEGIST 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SG SELECT, LLC PRESIDENT indirect 1993-01-01
STEINBERG GLOBAL ASSET MANAGEMENT LTD CHIEF EXECUTIVE OFFICER direct 1993-01-01
SG SELECT, LLC PRESIDENT/ELECTED MANAGER direct 2012-08-01
SG SELECT, LLC PRESIDENT direct 2012-08-01 2012-08-17
STEINBERG GLOBAL ASSET MANAGEMENT LTD PRESIDENT direct 1993-01-01 2013-10-07
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
COLONY MULTI-STRATEGY FUND, L.P. United States 805-3118659801 Hedge Fund 864,000 0 Fund of Funds

THE COLONY GROUP, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 10/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
NATHANSON, MICHAEL, JEFFREY CHAIRMAN & CEO 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC PRESIDENT, CHIEF FINANCIAL OFFICER & GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC MANAGER, CEO & PRESIDENT direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, & CFO direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, CFO AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-07-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER, GENERAL COUNSEL, & MANAGER direct 2005-05-01
JETA GROVE, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC PRESIDENT, CFO & MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER, CEO & PRESIDENT direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC CHAIRMAN, CEO & PRESIDENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT & CEO direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & DIRECTOR direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & MANAGER direct 2011-10-01
SADLER, STEPHEN, THOMAS MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC MANAGER & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER direct 2005-05-01
JETA GROVE, LLC MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1987-07-01 2006-03-30
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2006-04-18
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2007-07-26
THE COLONY GROUP, LLC MANAGER, PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2009-10-07
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2009-10-08
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & DIRECTOR direct 2011-10-01 2012-06-18
TALBOT, ELISABETH, LOUISE MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 1991-03-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC ACTING CHIEF INVESTMENT OFFICER/SR. FINANCIAL COUNSELOR direct 2004-10-01 2004-11-19
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1991-03-01 2006-03-30
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 1991-03-01 2009-10-07
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR, CHIEF MARKET STRATEGIST & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR, CHIEF MARKET STRATEGIST & DIRECTOR direct 2011-10-01 2012-06-18
BRADLEY, GINA, KULIG CHIEF OPERATING OFFICER & GENERAL COUNSEL 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SHARK CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2008-01-01
JETA GROVE, LLC GENERAL COUNSEL direct 2007-12-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2008-01-01
KATZ, BRIAN, WILLIAM PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP LLC PORTFOLIO MANAGER direct 2003-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER direct 2004-11-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER direct 2006-04-01
SHARK CAPITAL MANAGEMENT, LLC MANAGING DIRECTOR OF INVESTMENTS & SR. PORTFOLIO MANAGER direct 2005-05-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF INVESTMENT OFFICER direct 2006-12-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER direct 2011-10-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER & PRESIDENT OF COLONY INVESTMENT MANAGEMENT direct 2011-10-01
GRATCH, VINCENT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP LLC COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2004-09-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-05-01
JETA GROVE, LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2011-10-01
STELLJES, STEPHEN, RAYMOND PRESIDENT OF CLIENT SERVICES 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC VICE PRESIDENT OF BUSINESS DEVELOPMENT direct 2006-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 2009-06-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT OF CLIENT SERVICES direct 2015-01-01
GLOVSKY, ROBERT, JAMES VICE CHAIR AND SENIOR WEALTH ADVISOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MINTZ LEVIN FINANCIAL ADVISORS LLC PRESIDENT direct 1998-10-01
THE COLONY GROUP, LLC VICE CHAIR AND SENIOR FINANCIAL COUNSELOR direct 2012-07-01
WHITE, JOHN, CHRISTOPHER CHIEF ADMINISTRATIVE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPGROUP ADVISORS, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2013-09-01
CAPGROUP ADVISORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (MEMBER OF MANAGEMENT TEAM) direct 2013-09-01
THE COLONY GROUP, LLC CHIEF ADMINISTRATIVE OFFICER direct 2015-03-01
Feeney, Terri, Ann CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
RUBIN, RONALD, JOSEPH PRESIDENT, VICE CHAIRMAN, AND CHIEF CULTURAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1997-02-01
LEXINGTON/BRIDGEWATER WEALTH MANAGEMENT, LLC PRINCIPAL direct 2004-06-01
BRIDGEWATER WEALTH MANAGEMENT, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL direct 2010-01-01
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT direct 1997-02-01 2003-02-18
BRIDGEWATER WEALTH MANAGEMENT, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01 2005-05-18
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MANAGING PARTNER/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2010-02-16
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2015-07-30
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL / CHIEF COMPLIANCE OFFICER direct 2010-01-01 2016-07-20
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
COLONY MULTI-STRATEGY FUND, L.P. United States 805-3118659801 Hedge Fund 864,000 0 Fund of Funds

THE COLONY GROUP, LLC

ownership team - last updated 2018-12-14
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER 10/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
NATHANSON, MICHAEL, JEFFREY CHAIRMAN & CEO 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC PRESIDENT, CHIEF FINANCIAL OFFICER & GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC MANAGER, CEO & PRESIDENT direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, & CFO direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, CFO AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-07-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER, GENERAL COUNSEL, & MANAGER direct 2005-05-01
JETA GROVE, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC PRESIDENT, CFO & MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER, CEO & PRESIDENT direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC CHAIRMAN, CEO & PRESIDENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT & CEO direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & DIRECTOR direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & MANAGER direct 2011-10-01
SADLER, STEPHEN, THOMAS MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC MANAGER & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER direct 2005-05-01
JETA GROVE, LLC MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1987-07-01 2006-03-30
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2006-04-18
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2007-07-26
THE COLONY GROUP, LLC MANAGER, PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2009-10-07
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2009-10-08
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & DIRECTOR direct 2011-10-01 2012-06-18
TALBOT, ELISABETH, LOUISE MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 1991-03-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC ACTING CHIEF INVESTMENT OFFICER/SR. FINANCIAL COUNSELOR direct 2004-10-01 2004-11-19
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1991-03-01 2006-03-30
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 1991-03-01 2009-10-07
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR, CHIEF MARKET STRATEGIST & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR, CHIEF MARKET STRATEGIST & DIRECTOR direct 2011-10-01 2012-06-18
BRADLEY, GINA, KULIG CHIEF OPERATING OFFICER & GENERAL COUNSEL 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SHARK CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2008-01-01
JETA GROVE, LLC GENERAL COUNSEL direct 2007-12-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2008-01-01
KATZ, BRIAN, WILLIAM PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP LLC PORTFOLIO MANAGER direct 2003-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER direct 2004-11-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER direct 2006-04-01
SHARK CAPITAL MANAGEMENT, LLC MANAGING DIRECTOR OF INVESTMENTS & SR. PORTFOLIO MANAGER direct 2005-05-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF INVESTMENT OFFICER direct 2006-12-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER direct 2011-10-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER & PRESIDENT OF COLONY INVESTMENT MANAGEMENT direct 2011-10-01
GRATCH, VINCENT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP LLC COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2004-09-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-05-01
JETA GROVE, LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2011-10-01
STELLJES, STEPHEN, RAYMOND PRESIDENT OF CLIENT SERVICES 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC VICE PRESIDENT OF BUSINESS DEVELOPMENT direct 2006-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 2009-06-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT OF CLIENT SERVICES direct 2015-01-01
GLOVSKY, ROBERT, JAMES VICE CHAIR AND SENIOR WEALTH ADVISOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MINTZ LEVIN FINANCIAL ADVISORS LLC PRESIDENT direct 1998-10-01
THE COLONY GROUP, LLC VICE CHAIR AND SENIOR FINANCIAL COUNSELOR direct 2012-07-01
WHITE, JOHN, CHRISTOPHER CHIEF ADMINISTRATIVE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPGROUP ADVISORS, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2013-09-01
CAPGROUP ADVISORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (MEMBER OF MANAGEMENT TEAM) direct 2013-09-01
THE COLONY GROUP, LLC CHIEF ADMINISTRATIVE OFFICER direct 2015-03-01
Feeney, Terri, Ann CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
RUBIN, RONALD, JOSEPH PRESIDENT AND CHIEF CULTURAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1997-02-01
LEXINGTON/BRIDGEWATER WEALTH MANAGEMENT, LLC PRINCIPAL direct 2004-06-01
BRIDGEWATER WEALTH MANAGEMENT, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL direct 2010-01-01
BRIDGEWATER FINANCIAL MANAGEMENT LLC PRESIDENT direct 1997-02-01 2003-02-18
BRIDGEWATER WEALTH MANAGEMENT, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-04-01 2005-05-18
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MANAGING PARTNER/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2010-02-16
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2010-01-01 2015-07-30
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC PRINCIPAL / CHIEF COMPLIANCE OFFICER direct 2010-01-01 2016-07-20
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
COLONY MULTI-STRATEGY FUND, L.P. United States 805-3118659801 Hedge Fund 13,614,361 250,000 Fund of Funds

THE COLONY GROUP, LLC

ownership team - last updated 2018-04-02
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER 10/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
NATHANSON, MICHAEL, JEFFREY CHAIRMAN, CEO & PRESIDENT 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC PRESIDENT, CHIEF FINANCIAL OFFICER & GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC MANAGER, CEO & PRESIDENT direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, & CFO direct 2004-06-01
THE COLONY GROUP, LLC MANGER, CEO, PRESIDENT, CFO AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-06-01
THE COLONY GROUP LLC CHIEF FINANCIAL OFFICER AND GENERAL COUNSEL direct 2004-07-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CEO, PRESIDENT & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC PRESIDENT, CHIEF FINANCIAL OFFICER, GENERAL COUNSEL & MANAGER direct 2005-05-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER, GENERAL COUNSEL, & MANAGER direct 2005-05-01
JETA GROVE, LLC CEO, PRESIDENT, CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC CFO & MANAGER direct 2005-09-01
JETA GROVE, LLC PRESIDENT, CFO & MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER, CEO & PRESIDENT direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC CHAIRMAN, CEO & PRESIDENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT & CEO direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & DIRECTOR direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT, CEO & MANAGER direct 2011-10-01
SADLER, STEPHEN, THOMAS MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC MANAGER & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 1987-07-01
SHARK CAPITAL MANAGEMENT, LLC MANAGER direct 2005-05-01
JETA GROVE, LLC MANAGER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC MANAGER direct 2006-12-01
THE COLONY GROUP OF NAPLES, LLC MANAGER indirect 2006-12-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1987-07-01 2006-03-30
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2006-04-18
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2007-07-26
THE COLONY GROUP, LLC MANAGER, PRESIDENT OF COLONY WEALTH MANAGEMENT direct 1987-07-01 2009-10-07
SHARK CAPITAL MANAGEMENT, LLC MANAGER indirect 2005-05-01 2009-10-08
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & DIRECTOR direct 2011-10-01 2012-06-18
TALBOT, ELISABETH, LOUISE MANAGING DIRECTOR AND SENIOR WEALTH ADVISOR 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 1991-03-01
THE COLONY GROUP, LLC MANAGING DIRECTOR AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC ACTING CHIEF INVESTMENT OFFICER/SR. FINANCIAL COUNSELOR direct 2004-10-01 2004-11-19
COLONY GROUP INC SENIOR FINANCIAL COUNSELOR direct 1991-03-01 2006-03-30
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 1991-03-01 2009-10-07
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR & CHIEF MARKET STRATEGIST direct 2011-10-01 2011-11-09
THE COLONY GROUP, LLC EXECUTIVE DIRECTOR, CHIEF MARKET STRATEGIST & MANAGER direct 2011-10-01 2011-12-23
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR, CHIEF MARKET STRATEGIST & DIRECTOR direct 2011-10-01 2012-06-18
BRADLEY, GINA, KULIG CHIEF OPERATING OFFICER & GENERAL COUNSEL 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SHARK CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2008-01-01
JETA GROVE, LLC GENERAL COUNSEL direct 2007-12-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2011-10-01
THE COLONY GROUP, LLC GENERAL COUNSEL direct 2008-01-01
THE COLONY GROUP, LLC CFO & GENERAL COUNSEL direct 2008-01-01
KATZ, BRIAN, WILLIAM PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP LLC PORTFOLIO MANAGER direct 2003-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER direct 2004-11-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER direct 2006-04-01
SHARK CAPITAL MANAGEMENT, LLC MANAGING DIRECTOR OF INVESTMENTS & SR. PORTFOLIO MANAGER direct 2005-05-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF INVESTMENT OFFICER direct 2006-12-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY INVESTMENT MANAGEMENT & CHIEF INVESTMENT OFFICER direct 2011-10-01
THE COLONY GROUP, LLC CHIEF INVESTMENT OFFICER & PRESIDENT OF COLONY INVESTMENT MANAGEMENT direct 2011-10-01
GRATCH, VINCENT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP LLC COMPLIANCE OFFICER direct 2004-09-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2004-09-01
SHARK CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-05-01
JETA GROVE, LLC CHIEF COMPLIANCE OFFICER direct 2005-09-01
WEALTH COUNSELLORS OF FIFTH AVENUE, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
THE COLONY GROUP, LLC CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR OF OPERATIONS direct 2011-10-01
STELLJES, STEPHEN, RAYMOND PRESIDENT OF CLIENT SERVICES 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC VICE PRESIDENT OF BUSINESS DEVELOPMENT direct 2006-01-01
THE COLONY GROUP, LLC MANAGING DIRECTOR OF COLONY WEALTH MANAGEMENT direct 2009-06-01
THE COLONY GROUP, LLC PRESIDENT OF COLONY WEALTH MANAGEMENT AND SENIOR FINANCIAL COUNSELOR direct 2011-10-01
THE COLONY GROUP, LLC SENIOR FINANCIAL COUNSELOR & PRESIDENT OF COLONY WEALTH MANAGEMENT direct 2011-10-01
THE COLONY GROUP, LLC PRESIDENT OF CLIENT SERVICES direct 2015-01-01
GLOVSKY, ROBERT, JAMES VICE CHAIR AND SENIOR WEALTH ADVISOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MINTZ LEVIN FINANCIAL ADVISORS LLC PRESIDENT direct 1998-10-01
THE COLONY GROUP, LLC VICE CHAIR AND SENIOR FINANCIAL COUNSELOR direct 2012-07-01
WHITE, JOHN, CHRISTOPHER CHIEF ADMINISTRATIVE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPGROUP ADVISORS, LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2013-09-01
CAPGROUP ADVISORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (MEMBER OF MANAGEMENT TEAM) direct 2013-09-01
THE COLONY GROUP, LLC CHIEF ADMINISTRATIVE OFFICER direct 2015-03-01
Feeney, Terri, Ann CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE COLONY GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
TRIDENT FFP, L.P. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER indirect 2017-07-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2017-07-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2017-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2017-07-01
HOYLECOHEN, LLC MEMBER indirect 2017-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2017-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2017-07-01
BFSG, LLC MEMBER indirect 2017-07-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2017-07-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2017-07-01
WESPAC ADVISORS, LLC MEMBER indirect 2017-07-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2017-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2017-07-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2017-07-01
THE COLONY GROUP, LLC MEMBER indirect 2017-07-01
LVW ADVISORS, LLC MEMBER indirect 2017-07-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2017-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2017-07-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2017-07-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER indirect 2017-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2017-07-01
LAFLEUR & GODFREY LLC MEMBER indirect 2017-07-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2017-07-01
GRATUS CAPITAL, LLC MEMBER indirect 2017-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2017-07-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2017-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER direct 2017-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2017-07-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2017-07-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2017-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2017-07-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2017-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2017-07-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2017-07-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2017-07-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2017-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-07-01
XML FINANCIAL, LLC MEMBER indirect 2017-07-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-07-01
CFO4LIFE GROUP, LLC MEMBER indirect 2017-07-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2017-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2017-07-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2017-07-01
TRIDENT FFP BLOCKER LLC LIMITED PARTNER TRIDENT FFP, L.P> 05/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LVW ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
VESTOR CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
THE PORTFOLIO STRATEGY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BEIRNE WEALTH CONSULTING SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
TELEMUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
LAFLEUR & GODFREY LLC LIMITED PARTNER indirect 2017-05-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
GRATUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC WEALTH PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER direct 2017-05-01
THE FIDUCIARY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
RELATIVE VALUE PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
FORT PITT CAPITAL GROUP, LLC LIMITED PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC LIMITED PARTNER indirect 2017-05-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC LIMITED PARTNER indirect 2017-05-01
DOUGLAS LANE & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
CARNICK & KUBIK GROUP, LLC LIMITED PARTNER indirect 2017-05-01
WADDELL & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
GYL FINANCIAL SYNERGIES, LLC LIMITED PARTNER indirect 2017-05-01
XML FINANCIAL, LLC LIMITED PARTNER indirect 2017-05-01
CRESTWOOD ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
CFO4LIFE GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BORDEAUX WEALTH ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED PARTNERS indirect 2017-05-01
BROWNLIE & BRADEN ADVISORS, LLC LIMITED PARTNER, LANTERN MANAGEMENT HOLDINGS, LP indirect 2017-05-01
ETON ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
GW & WADE, LLC LIMITED PARTNER indirect 2017-05-01
RESNICK INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SENTINEL PENSION ADVISORS INC LIMITED PARTNER indirect 2017-05-01
SCS CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC POINT INVESTMENT ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
HOYLECOHEN, LLC LIMITED PARTNER indirect 2017-05-01
BAM ADVISOR SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
BUCKINGHAM ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BFSG, LLC LIMITED PARTNER indirect 2017-05-01
JFS WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
LARA, MAY & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
WESPAC ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
JOEL ISAACSON & CO., LLC LIMITED PARTNER indirect 2017-05-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
PETTINGA FINANCIAL ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
THE COLONY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
TRIDENT VI, L.P. LIMITED PARTNER TRIDENT FFP, L.P. 05/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PROVISE MANAGEMENT GROUP, LLC LIMITED PARTNER indirect 2016-06-01
GW & WADE, LLC LIMITED PARTNER indirect 2017-05-01
RESNICK INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SENTINEL PENSION ADVISORS INC LIMITED PARTNER indirect 2017-05-01
BEACON RETIREMENT PLANNING SERVICES INC. LIMITED PARTNER indirect 2016-06-01
SCS CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC POINT INVESTMENT ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
HOYLECOHEN, LLC LIMITED PARTNER indirect 2017-05-01
BAM ADVISOR SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
BUCKINGHAM ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BFSG, LLC LIMITED PARTNER indirect 2017-05-01
JFS WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
LARA, MAY & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
WESPAC ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA INSTITUTIONAL SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
JOEL ISAACSON & CO., LLC LIMITED PARTNER indirect 2017-05-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
PETTINGA FINANCIAL ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
THE COLONY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
LVW ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
FORMATION CAPITAL, LLC LIMITED PARTNER indirect 2016-04-01
BROADSTONE REAL ESTATE, LLC MANAGING MEMBER indirect 2015-07-01
VESTOR CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
MERRIMAN WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
THE PORTFOLIO STRATEGY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BEIRNE WEALTH CONSULTING SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
TELEMUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
LAFLEUR & GODFREY LLC LIMITED PARTNER indirect 2017-05-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
GRATUS CAPITAL, LLC LIMITED PARTNER indirect 2017-05-01
STRATEGIC WEALTH PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER direct 2017-05-01
DORCHESTER WEALTH MANAGEMENT COMPANY LIMITED PARTNER indirect 2017-05-01
THE FIDUCIARY GROUP, LLC LIMITED PARTNER indirect 2017-05-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC LIMITED PARTNER indirect 2017-05-01
RELATIVE VALUE PARTNERS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
FORT PITT CAPITAL GROUP, LLC LIMITED PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC PARTNER indirect 2017-05-01
PATTON ALBERTSON MILLER GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BROADSTONE ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2015-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC LIMITED PARTNER indirect 2017-05-01
DOUGLAS LANE & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
KESTRA ADVISORY SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
CARNICK & KUBIK GROUP, LLC LIMITED PARTNER indirect 2017-05-01
WADDELL & ASSOCIATES, LLC LIMITED PARTNER indirect 2017-05-01
GYL FINANCIAL SYNERGIES, LLC LIMITED PARTNER indirect 2017-05-01
XML FINANCIAL, LLC LIMITED PARTNER indirect 2017-05-01
CROSS OCEAN PARTNERS MANAGEMENT LP MANAGING MEMBER indirect 2016-02-01
CRESTWOOD ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
CRESTWOOD ADVISORS GROUP, LLC PARTNER indirect 2017-05-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2017-05-01
CFO4LIFE GROUP, LLC LIMITED PARTNER indirect 2017-05-01
BORDEAUX WEALTH ADVISORS LLC LIMITED PARTNER indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
LAKE STREET ADVISORS GROUP, LLC LIMITED indirect 2017-05-01
BROWNLIE & BRADEN ADVISORS, LLC LIMITED PARTNER indirect 2017-05-01
ETON ADVISORS GROUP, LLC LIMITED PARTNER indirect 2017-05-01
TRIDENT VI PARALLEL FUND, L.P. MEMBER TGRIDENT FFP BLOCKER LLP 04/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PROVISE MANAGEMENT GROUP, LLC LIMITED PARTNER indirect 2016-06-01
GW & WADE, LLC MEMBER indirect 2017-04-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2017-04-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2017-04-01
BEACON RETIREMENT PLANNING SERVICES INC. LIMITED PARTNER indirect 2016-06-01
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2017-04-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2017-04-01
HOYLECOHEN, LLC MEMBER indirect 2017-04-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2017-04-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2017-04-01
BFSG, LLC MEMBER indirect 2017-04-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2017-04-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2017-04-01
WESPAC ADVISORS, LLC MEMBER indirect 2017-04-01
KESTRA INSTITUTIONAL SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2017-04-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2017-04-01
KESTRA PRIVATE WEALTH SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2017-04-01
THE COLONY GROUP, LLC MEMBER indirect 2017-04-01
LVW ADVISORS, LLC MEMBER indirect 2017-04-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2017-04-01
VESTOR CAPITAL, LLC MEMBER indirect 2017-04-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2017-04-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER indirect 2017-04-01
TELEMUS CAPITAL, LLC MEMBER indirect 2017-04-01
LAFLEUR & GODFREY LLC MEMBER indirect 2017-04-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2017-04-01
GRATUS CAPITAL, LLC MEMBER indirect 2017-04-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2017-04-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2017-04-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2017-04-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER direct 2017-04-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2017-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2017-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2017-04-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2017-04-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2017-04-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2017-04-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2017-04-01
KESTRA ADVISORY SERVICES, LLC LIMITED PARTNER indirect 2016-06-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2017-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2017-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2017-04-01
XML FINANCIAL, LLC MEMBER indirect 2017-04-01
CROSS OCEAN PARTNERS MANAGEMENT LP MEMBER indirect 2013-07-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2017-04-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-04-01
CFO4LIFE GROUP, LLC MEMBER indirect 2017-04-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2017-04-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2017-04-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
COLONY MULTI-STRATEGY FUND, L.P. United States 805-3118659801 Hedge Fund 13,614,361 250,000 Fund of Funds

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