HERZOG, ALBERT, PINGREE
BOARD OF MANAGERS
02/01/2017
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE ASSET MANAGEMENT, INC.
PRESIDENT
direct
1992-08-01
EXECUTIVE WEALTH MANAGEMENT, LLC
PRINCIPAL/OWNER AND MANAGING MEMBER
direct
2006-01-01
EXECUTIVE WEALTH MANAGEMENT, LLC
MANAGING MEMBER
direct
2006-05-01
EXECUTIVE WEALTH MANAGEMENT, LLC
MANAGING MEMBER & CHIEF COMPLIANCE OFFICER
direct
2006-05-01
EXECUTIVE WEALTH MANAGEMENT, LLC
BOARD OF MANAGERS
direct
2017-02-01
WEALTH ADVISORY GROUP ASSET MANAGEMENT, INC.
INVESTMENT ADVISORY REPRESENTATIVE & PRINCIPAL
direct
2006-07-01
FORTUNATUS INVESTMENTS, INC.
PRESIDENT AND CHIEF COMPLIANCE OFFICER
direct
2009-10-01
401 (K) GPS, INC.
PRESIDENT AND CHIEF COMPLIANCE OFFICER
direct
2009-10-01
401K GPS, LLC
PRINCIPAL OWNER/PRESIDENT
direct
2006-01-01
401(K) GPS, LLC
PRINCIPAL OWNER/PRESIDENT
direct
2012-12-01
FORTUNATUS INVESTMENTS, LLC
PRESIDENT AND MANAGING MEMBER
direct
2009-12-01
FORTUNATUS INVESTMENTS, LLC
PRESIDENT
direct
2009-12-01
FORTUNATUS INVESTMENTS, LLC
BOARD OF MANAGERS
direct
2017-02-01
CHECHEL, MICHAEL, ROBERT
BOARD OF MANAGERS, RESIDENT AGENT
02/01/2017
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
VICE PRESIDENT
direct
2011-03-01
EXECUTIVE WEALTH MANAGEMENT, LLC
BOARD OF MANAGERS, RESIDENT AGENT
direct
2017-02-01
401 (K) GPS, INC.
VICE PRESIDENT
direct
2011-09-01
401(K) GPS, LLC
VICE PRESIDENT
direct
2012-12-01
FORTUNATUS INVESTMENTS, LLC
VICE PRESIDENT
direct
2009-12-01
FORTUNATUS INVESTMENTS, LLC
BOARD OF MANAGERS
direct
2017-02-01
KULESZA, ADAM, R
BOARD OF MANAGERS
02/01/2017
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
VICE PRESIDENT
direct
2010-11-01
EXECUTIVE WEALTH MANAGEMENT, LLC
BOARD OF MANAGERS
direct
2017-02-01
FORTUNATUS INVESTMENTS, LLC
VICE PRESIDENT
direct
2009-12-01
FORTUNATUS INVESTMENTS, LLC
BOARD OF MANAGERS
direct
2017-02-01
LAY, MICHAEL, JAMES
CHIEF OPERATING OFFICER - BOARD OF MANAGERS
04/01/2015
Direct
5 - 10%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
CHIEF OPERATING OFFICER
direct
2015-04-01
EXECUTIVE WEALTH MANAGEMENT, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-11-01
EXECUTIVE WEALTH MANAGEMENT, LLC
BOARD OF MANAGERS
direct
2017-02-01
401(K) GPS, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-11-01
FORTUNATUS INVESTMENTS, LLC
CHIEF OPERATING OFFICER
direct
2015-04-01
FORTUNATUS INVESTMENTS, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-11-01
FORTUNATUS INVESTMENTS, LLC
BOARD OF MANAGERS, CHIEF OPERATING OFFICER
direct
2017-02-01
WICKHAM, CODY, EDWARD
CHIEF INFORMATION SECURITY OFFICER
11/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
CHIEF INFORMATION SECURITY OFFICER
direct
2015-11-01
401(K) GPS, LLC
CHIEF INFORMATION SECURITY OFFICER
direct
2015-11-01
FORTUNATUS INVESTMENTS, LLC
CHIEF INFORMATION SECURITY OFFICER
direct
2015-11-01
RITSEMA, KYRSTIN, NICOLE
CHIEF COMPLIANCE OFFICER
03/01/2016
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
CHIEF COMPLIANCE OFFICER
direct
2016-03-01
401(K) GPS, LLC
CHIEF COMPLIANCE OFFICER
direct
2016-03-01
FORTUNATUS INVESTMENTS, LLC
CHIEF COMPLIANCE OFFICER
direct
2016-03-01
EWM CAPITAL, LLC
MICHIGAN LIMITED LIABILITY COMPANY/INTEREST HOLDER
02/01/2017
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
MICHIGAN LIMITED LIABILITY COMPANY/INTEREST HOLDER
direct
2017-02-01
FORTUNATUS INVESTMENTS, LLC
MICHIGAN LIMITED LIABILITY COMPANY
direct
2016-12-01
BARBER, GREGORY, JOSEPH
BOARD OF MANAGERS
02/01/2017
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
EXECUTIVE WEALTH MANAGEMENT, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-03-01
401(K) GPS, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-03-01
FORTUNATUS INVESTMENTS, LLC
CHIEF COMPLIANCE OFFICER
direct
2015-03-01