ELLEVEST, INC.

HTTPS://WWW.PINTEREST.COM/ELLEVEST/ NEW YORK, NY Investment Advisor How do I update this listing?

Ellevest is based out of New York. Ellevest is a large advisory firm with 29441 clients and discretionary assets under management (AUM) of $356,505,873 (Form ADV from 2019-08-20). Their last reported 13F filing for Q3 2019 included $285,546,000 in managed 13F securities and a top 10 holdings concentration of 78.09%. Ellevest's largest holding is Vanguard Total Stock Market ETF with shares held of 517,479. Whalewisdom has at least 4 13F filings The firm last filed a Form D notice of exempt offering of securities on 2019-08-13. The notice included securities offered of Equity

Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $285.546 Million
  • Prior Market Value $251.568 Million
  • New Purchases245 stocks
  • Additional Purchases146 stocks
  • Sold out of57 stocks
  • Reduced holdings in107 stocks
  • Top 10 Holdings % 78.09 %
  • Turnover % [1]:51.36%
  • Turnover Alt % [2]: 43.30 %
  • Time Held Top20:2.15 quarters
  • Time Held Top10:2.30 quarters
  • Time Held All:1.47 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: 5.07%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 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)

View Last Form Adv Compilation Report on Record

ELLEVEST
48 WEST 25TH STREET 6TH FLOOR
NEW YORK NY    10010
Country: United States

Business Phone: 844-355-7100
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 82
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,FINANCIAL PLANNING, WORKSHOP/SEMINAR FEES
Amount of client funds and securities:
Total Number of Clients: 29441
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

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2019-08-13 D/A INVESTING Equity 38,000,000 34,499,998 3,500,002
2019-03-28 D/A INVESTING Equity 33,000,000 33,000,000 0
2019-03-26 D INVESTING Equity 33,000,000 28,049,407 4,950,593
2018-10-25 D INVESTING Option, Warrant or Other Right to Acquire Another Security 832,000 26,000 806,000
2017-08-23 D OTHER TECHNOLOGY Equity 34,638,928 32,458,913 2,180,015
2015-06-04 D OTHER TECHNOLOGY Equity 2,000,000 2,000,000 0
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
CATHERINE ODELBO subscription required
    DIRECTOR
CHARLES KROLL subscription required
    EXECUTIVE OFFICER DIRECTOR
JENNY ABRAMSON subscription required
    DIRECTOR
SALLIE KRAWCHECK subscription required
    EXECUTIVE OFFICER DIRECTOR

ELLEVEST, INC.

ownership team - last updated 2019-08-20
Name Title Start Date Direct/Indirect % Ownership
KRAWCHECK, SALLIE, LEE CHIEF EXECUTIVE OFFICER 11/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PAX ELLEVATE MANAGEMENT LLC OWNER/MANAGING MEMBER indirect 2014-04-01
PAX ELLEVATE MANAGEMENT LLC CHAIRPERSON direct 2014-04-01
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER direct 2014-11-01
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2001-07-01 2001-08-07
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2001-07-01 2002-03-27
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN & CEO - SMITH BARNEY direct 2002-11-01 2003-12-18
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2002-11-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2003-12-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2007-01-01 2008-03-28
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2007-03-01 2008-03-28
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2009-08-01 2011-09-07
KROLL, CHARLES, HOPE PRESIDENT 11/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER AND PRESIDENT direct 2014-11-01
ELLEVATE FINANCIAL, INC. PRESIDENT direct 2014-11-01
MORNINGSTAR, INC SHAREHOLDER (COMMON, SERIES A PREFERRED) 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28
TIWARI, MUNESHRIE, NMN CHIEF COMPLIANCE OFFICER/COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
STANDARD PACIFIC CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
HEDGEMARK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
ELLEVEST, INC. CHIEF COMPLIANCE OFFICER/COUNSEL direct 2016-01-01
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
KHOSLA VENTURES SEED C, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
KHOSLA VENTURES V, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
PPG INVESTORS, L.L.C. SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT ELLEVEST, LLC SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
CE FINTECH I LIMITED PARTNERSHIP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
MANSUETO, JOSEPH, D EXECUTIVE CHAIRMAN OF THE BOARD MORNINGSTAR, INC. 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC SHAREHOLDER indirect 1984-04-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 1985-06-01
ELLEVATE FINANCIAL, INC. EXECUTIVE CHAIRMAN OF THE BOARD indirect 2016-09-01
MORNINGSTAR ASSOCIATES, LLC CHAIRMAN direct 1999-10-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER indirect 1984-04-01 2001-06-29
ELLEVATE FINANCIAL, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER indirect 1984-05-01 2016-05-12
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER indirect 2016-09-01 2017-01-05
KHOSLA VENTURES SEED ASSOCIATES C, LLC MEMBER KHOSLA VENTURES SEED C, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. MEMBER indirect 2017-08-01
SK IMPACT FUND, LLC PARTNER RETHINK IMPACT, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. PARTNER indirect 2017-08-01
PPG 2008 TRUST TRUSTEE PPG INVESTORS, L.L.C. 08/01/2107 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. TRUSTEE indirect 2107-08-01

ELLEVEST, INC.

ownership team - last updated 2019-05-24
Name Title Start Date Direct/Indirect % Ownership
KRAWCHECK, SALLIE, LEE CHIEF EXECUTIVE OFFICER 11/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PAX ELLEVATE MANAGEMENT LLC OWNER/MANAGING MEMBER indirect 2014-04-01
PAX ELLEVATE MANAGEMENT LLC CHAIRPERSON direct 2014-04-01
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER direct 2014-11-01
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2001-07-01 2001-08-07
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2001-07-01 2002-03-27
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN & CEO - SMITH BARNEY direct 2002-11-01 2003-12-18
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2002-11-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2003-12-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2007-01-01 2008-03-28
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2007-03-01 2008-03-28
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2009-08-01 2011-09-07
KROLL, CHARLES, HOPE PRESIDENT 11/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER AND PRESIDENT direct 2014-11-01
ELLEVATE FINANCIAL, INC. PRESIDENT direct 2014-11-01
MORNINGSTAR, INC SHAREHOLDER (COMMON, SERIES A PREFERRED) 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28
TIWARI, MUNESHRIE, NMN CHIEF COMPLIANCE OFFICER/COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
STANDARD PACIFIC CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
HEDGEMARK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
ELLEVEST, INC. CHIEF COMPLIANCE OFFICER/COUNSEL direct 2016-01-01
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
KHOSLA VENTURES SEED C, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
KHOSLA VENTURES V, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
PPG INVESTORS, L.L.C. SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT ELLEVEST, LLC SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
CE FINTECH I LIMITED PARTNERSHIP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
MANSUETO, JOSEPH, D EXECUTIVE CHAIRMAN OF THE BOARD MORNINGSTAR, INC. 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC SHAREHOLDER indirect 1984-04-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 1985-06-01
ELLEVATE FINANCIAL, INC. EXECUTIVE CHAIRMAN OF THE BOARD indirect 2016-09-01
MORNINGSTAR ASSOCIATES, LLC CHAIRMAN direct 1999-10-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER indirect 1984-04-01 2001-06-29
ELLEVATE FINANCIAL, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER indirect 1984-05-01 2016-05-12
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER indirect 2016-09-01 2017-01-05
KHOSLA VENTURES SEED ASSOCIATES C, LLC MEMBER KHOSLA VENTURES SEED C, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. MEMBER indirect 2017-08-01
SK IMPACT FUND, LLC PARTNER RETHINK IMPACT, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. PARTNER indirect 2017-08-01
PPG 2008 TRUST TRUSTEE PPG INVESTORS, L.L.C. 08/01/2107 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. TRUSTEE indirect 2107-08-01

ELLEVEST, INC.

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
KRAWCHECK, SALLIE, LEE CHIEF EXECUTIVE OFFICER 11/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PAX ELLEVATE MANAGEMENT LLC OWNER/MANAGING MEMBER indirect 2014-04-01
PAX ELLEVATE MANAGEMENT LLC CHAIRPERSON direct 2014-04-01
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER direct 2014-11-01
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2001-07-01 2001-08-07
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2001-07-01 2002-03-27
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN & CEO - SMITH BARNEY direct 2002-11-01 2003-12-18
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2002-11-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2003-12-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2007-01-01 2008-03-28
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2007-03-01 2008-03-28
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2009-08-01 2011-09-07
KROLL, CHARLES, HOPE PRESIDENT 11/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER AND PRESIDENT direct 2014-11-01
ELLEVATE FINANCIAL, INC. PRESIDENT direct 2014-11-01
MORNINGSTAR, INC SHAREHOLDER (COMMON, SERIES A PREFERRED) 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28
TIWARI, MUNESHRIE, NMN CHIEF COMPLIANCE OFFICER/COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
STANDARD PACIFIC CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
HEDGEMARK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
ELLEVEST, INC. CHIEF COMPLIANCE OFFICER/COUNSEL direct 2016-01-01
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
KHOSLA VENTURES SEED C, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
KHOSLA VENTURES V, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
PPG INVESTORS, L.L.C. SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT ELLEVEST, LLC SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
CE FINTECH I LIMITED PARTNERSHIP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
MANSUETO, JOSEPH, D EXECUTIVE CHAIRMAN OF THE BOARD MORNINGSTAR, INC. 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC SHAREHOLDER indirect 1984-04-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 1985-06-01
ELLEVATE FINANCIAL, INC. EXECUTIVE CHAIRMAN OF THE BOARD indirect 2016-09-01
MORNINGSTAR ASSOCIATES, LLC CHAIRMAN direct 1999-10-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER indirect 1984-04-01 2001-06-29
ELLEVATE FINANCIAL, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER indirect 1984-05-01 2016-05-12
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER indirect 2016-09-01 2017-01-05
KHOSLA VENTURES SEED ASSOCIATES C, LLC MEMBER KHOSLA VENTURES SEED C, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. MEMBER indirect 2017-08-01
SK IMPACT FUND, LLC PARTNER RETHINK IMPACT, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. PARTNER indirect 2017-08-01
PPG 2008 TRUST TRUSTEE PPG INVESTORS, L.L.C. 08/01/2107 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. TRUSTEE indirect 2107-08-01

ELLEVEST, INC.

ownership team - last updated 2018-12-18
Name Title Start Date Direct/Indirect % Ownership
KRAWCHECK, SALLIE, LEE CHIEF EXECUTIVE OFFICER 11/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PAX ELLEVATE MANAGEMENT LLC OWNER/MANAGING MEMBER indirect 2014-04-01
PAX ELLEVATE MANAGEMENT LLC CHAIRPERSON direct 2014-04-01
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER direct 2014-11-01
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2001-07-01 2001-08-07
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2001-07-01 2002-03-27
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN & CEO - SMITH BARNEY direct 2002-11-01 2003-12-18
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2002-11-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2003-12-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2007-01-01 2008-03-28
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2007-03-01 2008-03-28
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2009-08-01 2011-09-07
KROLL, CHARLES, HOPE PRESIDENT 11/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER AND PRESIDENT direct 2014-11-01
ELLEVATE FINANCIAL, INC. PRESIDENT direct 2014-11-01
MORNINGSTAR, INC SHAREHOLDER (COMMON, SERIES A PREFERRED) 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28
TIWARI, MUNESHRIE, NMN CHIEF COMPLIANCE OFFICER/COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
STANDARD PACIFIC CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
HEDGEMARK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
ELLEVEST, INC. CHIEF COMPLIANCE OFFICER/COUNSEL direct 2016-01-01
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
KHOSLA VENTURES SEED C, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
KHOSLA VENTURES V, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
PPG INVESTORS, L.L.C. SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT ELLEVEST, LLC SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
CE FINTECH I LIMITED PARTNERSHIP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
MANSUETO, JOSEPH, D EXECUTIVE CHAIRMAN OF THE BOARD MORNINGSTAR, INC. 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC SHAREHOLDER indirect 1984-04-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 1985-06-01
ELLEVATE FINANCIAL, INC. EXECUTIVE CHAIRMAN OF THE BOARD indirect 2016-09-01
MORNINGSTAR ASSOCIATES, LLC CHAIRMAN direct 1999-10-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER indirect 1984-04-01 2001-06-29
ELLEVATE FINANCIAL, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER indirect 1984-05-01 2016-05-12
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER indirect 2016-09-01 2017-01-05
KHOSLA VENTURES SEED ASSOCIATES C, LLC MEMBER KHOSLA VENTURES SEED C, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. MEMBER indirect 2017-08-01
SK IMPACT FUND, LLC PARTNER RETHINK IMPACT, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. PARTNER indirect 2017-08-01
PPG 2008 TRUST TRUSTEE PPG INVESTORS, L.L.C. 08/01/2107 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. TRUSTEE indirect 2107-08-01

ELLEVEST, INC.

ownership team - last updated 2017-12-19
Name Title Start Date Direct/Indirect % Ownership
KHOSLA VENTURES SEED C, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
KRAWCHECK, SALLIE, LEE CHIEF EXECUTIVE OFFICER 11/01/2014 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PAX ELLEVATE MANAGEMENT LLC OWNER/MANAGING MEMBER indirect 2014-04-01
PAX ELLEVATE MANAGEMENT LLC CHAIRPERSON direct 2014-04-01
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER direct 2014-11-01
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2001-07-01 2001-08-07
SANFORD C. BERNSTEIN & CO., LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2001-07-01 2002-03-27
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN & CEO - SMITH BARNEY direct 2002-11-01 2003-12-18
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2002-11-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2003-12-01 2004-11-18
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2007-01-01 2008-03-28
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2007-03-01 2008-03-28
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2009-08-01 2011-09-07
KROLL, CHARLES, HOPE PRESIDENT 11/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER AND PRESIDENT direct 2014-11-01
ELLEVATE FINANCIAL, INC. PRESIDENT direct 2014-11-01
MORNINGSTAR, INC SHAREHOLDER (COMMON, SERIES A PREFERRED) 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MPOWER ADVISORS, LLC MEMBER indirect 1999-09-01
MORNINGSTAR ASSOCIATES, LLC SOLE MEMBER direct 1999-09-01
IBBOTSON ASSOCIATES, INC. SHAREHOLDER direct 2006-03-01
IBBOTSON ASSOCIATES ADVISORS, LLC SHAREHOLDER indirect 2006-03-01
ELLEVEST, INC. SHAREHOLDER (COMMON, SERIES A PREFERRED) direct 2015-04-01
MORNINGSTAR INVESTMENT SERVICES LLC SOLE MEMBER indirect 2015-12-01
MORNINGSTAR RESEARCH SERVICES LLC SOLE MEMBER direct 2016-07-01
UNITED INCOME, INC. MEMBER direct 2016-10-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 2003-07-01 2003-07-01
MORNINGSTAR ASSOCIATES, LLC MEMBER direct 1999-09-01 2015-03-26
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER direct 2000-12-01 2015-04-10
ELLEVATE FINANCIAL, INC. OWNER direct 2015-04-01 2017-04-28
TIWARI, MUNESHRIE, NMN CHIEF COMPLIANCE OFFICER/COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL ENGINES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
STANDARD PACIFIC CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
HEDGEMARK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
ELLEVEST, INC. CHIEF COMPLIANCE OFFICER/COUNSEL direct 2016-01-01
ELLEVATE FINANCIAL, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
KHOSLA VENTURES V, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
PPG INVESTORS, L.L.C. SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT ELLEVEST, LLC SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
RETHINK IMPACT, LP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
CE FINTECH I LIMITED PARTNERSHIP SHAREHOLDER (SERIES A PREFERRED) 08/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. SHAREHOLDER (SERIES A PREFERRED) direct 2017-08-01
MANSUETO, JOSEPH, D EXECUTIVE CHAIRMAN OF THE BOARD MORNINGSTAR, INC. 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MORNINGSTAR ASSOCIATES, LLC SHAREHOLDER indirect 1984-04-01
MPOWER ADVISORS, LLC SHAREHOLDER indirect 1985-06-01
ELLEVATE FINANCIAL, INC. EXECUTIVE CHAIRMAN OF THE BOARD indirect 2016-09-01
MORNINGSTAR ASSOCIATES, LLC CHAIRMAN direct 1999-10-01 2001-03-16
MORNINGSTAR INVESTMENT SERVICES, INC SHAREHOLDER indirect 1984-04-01 2001-06-29
ELLEVATE FINANCIAL, INC. CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER indirect 1984-05-01 2016-05-12
ELLEVATE FINANCIAL, INC. CHIEF EXECUTIVE OFFICER indirect 2016-09-01 2017-01-05
KHOSLA VENTURES SEED ASSOCIATES C, LLC MEMBER KHOSLA VENTURES SEED C, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. MEMBER indirect 2017-08-01
SK IMPACT FUND, LLC PARTNER RETHINK IMPACT, LP 08/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. PARTNER indirect 2017-08-01
PPG 2008 TRUST TRUSTEE PPG INVESTORS, L.L.C. 08/01/2107 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ELLEVATE FINANCIAL, INC. TRUSTEE indirect 2107-08-01

Elevate your investments