CYPRESS WEALTH SERVICES, LLC

https://www.linkedin.com/company/cypresswealthservices/ PALM DESERT, CA Investment Advisor How do I update this listing?

Cypress Wealth Services is based out of Palm Desert. Cypress Wealth Services is a large advisory firm with 601 clients and discretionary assets under management (AUM) of $625,093,589 (Form ADV from 2019-09-27). Their last reported 13F filing for Q4 2019 included $396,384,000 in managed 13F securities and a top 10 holdings concentration of 24.43%. Cypress Wealth Services's largest holding is iShares Core S&P 500 ETF with shares held of 62,449. Whalewisdom has at least 9 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $396.384 Million
  • Prior Market Value $364.435 Million
  • New Purchases12 stocks
  • Additional Purchases95 stocks
  • Sold out of8 stocks
  • Reduced holdings in105 stocks
  • Top 10 Holdings % 24.43 %
  • Turnover % [1]:7.84%
  • Turnover Alt % [2]: 7.88 %
  • Time Held Top20:6.20 quarters
  • Time Held Top10:4.90 quarters
  • Time Held All:6.06 quarters

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

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

Portfolio Performance

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

Performance for Q3 2019: 5.96%
Performance Last 4 Quarters: 12.65%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-12-31 - 13F-HR (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CYPRESS WEALTH SERVICES, LLC
74150 COUNTRY CLUB DRIVE
PALM DESERT CA    92260
Country: United States

Business Phone: (760) 834-7250
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 91,086,600
Total Number of Clients: 601
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CYPRESS WEALTH SERVICES, LLC

ownership team - last updated 2019-09-27
Name Title Start Date Direct/Indirect % Ownership
RISENMAY, CHRISTIAN, BRAD PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
KOVEN, MARC, EDELMAN CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED WEALTH MANAGEMENT, INC. DIRECTOR OF ADMINISTRATIVE SERVICES direct 2015-09-01
CYPRESS WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
THATCHER, MARK, WILLIAM PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP INVESTMENTS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
SECOND GROWTH FINANCIAL MANAGING MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2016-07-01
CYPRESS WEALTH MANAGEMENT, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP WEALTH ADVISORS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
LIBERTY INCORPORATED MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
PENNEY, CLARK, STEVEN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, CHRISTIAN, BRAD MANAGING MEMBER RISENMAY, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, MARK, WILLIAM MANAGING MEMBER CYPRESS GROUP INVESTMENTS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER MANAGING MEMBER SECOND GROWTH FINANCIAL 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN MANAGING MEMBER CYPRESS WEALTH MANAGEMENT, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS MANAGING MEMBER CYPRESS GROUP WEALTH ADVISORS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
PENNEY, CLARK, STEVEN MANAGING MEMBER LIBERTY INCORPORATED 05/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01

CYPRESS WEALTH SERVICES, LLC

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
RISENMAY, CHRISTIAN, BRAD PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
KOVEN, MARC, EDELMAN CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED WEALTH MANAGEMENT, INC. DIRECTOR OF ADMINISTRATIVE SERVICES direct 2015-09-01
CYPRESS WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
THATCHER, MARK, WILLIAM PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP INVESTMENTS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
SECOND GROWTH FINANCIAL MANAGING MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2016-07-01
CYPRESS WEALTH MANAGEMENT, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP WEALTH ADVISORS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
LIBERTY INCORPORATED MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
PENNEY, CLARK, STEVEN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, CHRISTIAN, BRAD MANAGING MEMBER RISENMAY, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, MARK, WILLIAM MANAGING MEMBER CYPRESS GROUP INVESTMENTS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER MANAGING MEMBER SECOND GROWTH FINANCIAL 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN MANAGING MEMBER CYPRESS WEALTH MANAGEMENT, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS MANAGING MEMBER CYPRESS GROUP WEALTH ADVISORS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
PENNEY, CLARK, STEVEN MANAGING MEMBER LIBERTY INCORPORATED 05/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01

CYPRESS WEALTH SERVICES, LLC

ownership team - last updated 2019-03-07
Name Title Start Date Direct/Indirect % Ownership
RISENMAY, CHRISTIAN, BRAD PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
KOVEN, MARC, EDELMAN CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED WEALTH MANAGEMENT, INC. DIRECTOR OF ADMINISTRATIVE SERVICES direct 2015-09-01
CYPRESS WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
THATCHER, MARK, WILLIAM PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP INVESTMENTS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
SECOND GROWTH FINANCIAL MANAGING MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2016-07-01
CYPRESS WEALTH MANAGEMENT, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP WEALTH ADVISORS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
LIBERTY INCORPORATED MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
PENNEY, CLARK, STEVEN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, CHRISTIAN, BRAD MANAGING MEMBER RISENMAY, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, MARK, WILLIAM MANAGING MEMBER CYPRESS GROUP INVESTMENTS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER MANAGING MEMBER SECOND GROWTH FINANCIAL 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN MANAGING MEMBER CYPRESS WEALTH MANAGEMENT, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS MANAGING MEMBER CYPRESS GROUP WEALTH ADVISORS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
PENNEY, CLARK, STEVEN MANAGING MEMBER LIBERTY INCORPORATED 05/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01

CYPRESS WEALTH SERVICES, LLC

ownership team - last updated 2018-10-24
Name Title Start Date Direct/Indirect % Ownership
RISENMAY, CHRISTIAN, BRAD PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
KOVEN, MARC, EDELMAN CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED WEALTH MANAGEMENT, INC. DIRECTOR OF ADMINISTRATIVE SERVICES direct 2015-09-01
CYPRESS WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
THATCHER, MARK, WILLIAM PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP INVESTMENTS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
SECOND GROWTH FINANCIAL MANAGING MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2016-07-01
CYPRESS WEALTH MANAGEMENT, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP WEALTH ADVISORS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
LIBERTY INCORPORATED MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
PENNEY, CLARK, STEVEN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, CHRISTIAN, BRAD MANAGING MEMBER RISENMAY, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, MARK, WILLIAM MANAGING MEMBER CYPRESS GROUP INVESTMENTS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER MANAGING MEMBER SECOND GROWTH FINANCIAL 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN MANAGING MEMBER CYPRESS WEALTH MANAGEMENT, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS MANAGING MEMBER CYPRESS GROUP WEALTH ADVISORS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
PENNEY, CLARK, STEVEN MANAGING MEMBER LIBERTY INCORPORATED 05/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01

CYPRESS WEALTH SERVICES, LLC

ownership team - last updated 2018-05-02
Name Title Start Date Direct/Indirect % Ownership
RISENMAY, CHRISTIAN, BRAD PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
KOVEN, MARC, EDELMAN CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED WEALTH MANAGEMENT, INC. DIRECTOR OF ADMINISTRATIVE SERVICES direct 2015-09-01
CYPRESS WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
THATCHER, MARK, WILLIAM PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP INVESTMENTS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
SECOND GROWTH FINANCIAL MANAGING MEMBER 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2016-07-01
CYPRESS WEALTH MANAGEMENT, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
CYPRESS GROUP WEALTH ADVISORS, INC. MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
LIBERTY INCORPORATED MANAGING MEMBER 06/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER direct 2017-06-01
PENNEY, CLARK, STEVEN PARTNER & SENIOR FINANCIAL ADVISOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
RISENMAY, CHRISTIAN, BRAD MANAGING MEMBER RISENMAY, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, MARK, WILLIAM MANAGING MEMBER CYPRESS GROUP INVESTMENTS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
THATCHER, DAVID, REEDER MANAGING MEMBER SECOND GROWTH FINANCIAL 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
LAMM, SHATTUCK, FRANKLIN MANAGING MEMBER CYPRESS WEALTH MANAGEMENT, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, SENIOR VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
BIESINGER, STEPHEN, ROSS MANAGING MEMBER CYPRESS GROUP WEALTH ADVISORS, INC. 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-07-01
THE CYPRESS GROUP MANAGING MEMBER, VICE PRESIDENT & FINANCIAL ADVISOR direct 2017-06-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01
PENNEY, CLARK, STEVEN MANAGING MEMBER LIBERTY INCORPORATED 05/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CYPRESS WEALTH SERVICES, LLC MANAGING MEMBER indirect 2014-05-01
CYPRESS WEALTH SERVICES, LLC PARTNER & SENIOR FINANCIAL ADVISOR direct 2017-06-01

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