FINANCIAL COUNSELORS INC

OVERLAND PARK, KS Investment Advisor How do I update this listing?

Financial Counselors is based out of Overland Park. Financial Counselors is a registered investment advisory firm with 107 clients and discretionary assets under management (AUM) of $30,000,000 (Form ADV from 2001-01-17). Their last reported 13F filing for Q3 2019 included $2,545,960,000 in managed 13F securities and a top 10 holdings concentration of 17.48%. Financial Counselors's largest holding is Microsoft Corp. with shares held of 518,998. Financial Counselors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 77 13F filings

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67

S&P 500
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.546 Billion
  • Prior Market Value $2.461 Billion
  • New Purchases35 stocks
  • Additional Purchases245 stocks
  • Sold out of22 stocks
  • Reduced holdings in199 stocks
  • Top 10 Holdings % 17.48 %
  • Turnover % [1]:10.59%
  • Turnover Alt % [2]: 4.24 %
  • Time Held Top20:7.95 quarters
  • Time Held Top10:8.30 quarters
  • Time Held All:8.47 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: 8.48%
Performance Last 4 Quarters: 14.97%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR/A (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/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (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 (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

FINANCIAL COUNSEL, LLC

  

Business Phone: 623-215-4492
Fax: 623-215-8493
Professional Investment Advisor Data
SEC Registration as :
Form of Organization: Limited Liability Company
Organized in: AZ
Number of employees: 1
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 107
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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FINANCIAL COUNSELORS INC

ownership team - last updated 2019-03-20
Name Title Start Date Direct/Indirect % Ownership
HUNT, GRAHAM, THOMAS DIRECTOR 12/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 1994-12-01
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD,SECRETARY direct 1994-12-01 2001-12-12
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD, C.E.O. direct 1994-12-01 2003-03-28
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD direct 1994-12-01 2010-09-09
BARNES, BRYANT, PAGE DIRECTOR, VICE CHAIRMAN 04/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN direct 2002-04-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, TREASURER direct 1994-12-01 2002-03-26
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN, TREASURER direct 2002-04-01 2016-04-28
HUNTER, ROBERT, TYLER DIRECTOR, VICE CHAIRMAN 04/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN direct 2003-04-01
FIELDSTONE INVESTMENT ADVISORS, LLC MANAGER direct 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR,EXECUTIVE V.P., C.O.O. direct 1998-02-01 2001-12-12
FINANCIAL COUNSELORS INC DIRECTOR,EXECUTIVE V.P., C.O.O., SECRETARY direct 1998-02-01 2002-03-26
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, C.O.O., SECRETARY direct 2002-04-01 2003-03-28
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, C.E.O., SECRETARY direct 2003-04-01 2014-03-19
ALLISON, MARK, STERLING DIRECTOR, EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER direct 2008-04-01
FINANCIAL COUNSELORS INC EXECUTIVE VICE PRESIDENT direct 2000-11-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2008-04-01 2016-04-28
COURTNEY, WILLIAM, MICHAEL DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER-SELECT GROWTH 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT,CO-CHIEF INVEST. OFFICER-SELECT GROWTH direct 2008-04-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01 2016-04-28
GREIG, PETER, GORDON DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER- FIXED INCOME 02/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER- FIXED INCOME direct 1998-02-01
FINANCIAL COUNSELORS INC DIRECTOR, SR. VICE PRESIDENT direct 1998-02-01 2004-03-23
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 1998-02-01 2016-04-28
BERGMAN, BRADLEY, ANTHONY DIRECTOR, CHAIRMAN OF THE BOARD 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERITAGE PORTFOLIO MANAGEMENT, INC. OWNER direct 2003-09-01
FINANCIAL COUNSELORS INC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD indirect 2005-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC DIRECTOR/ PRESIDENT indirect 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR, CHAIRMAN OF THE BOARD direct 2011-08-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
TWO WEST FINANCIAL PARTNERS LLC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD OF MTC HOLDING CORPORATION (A MEMBER OF TWO WEST FINANCIAL PARTNERS LLC) indirect 2015-08-01
FINANCIAL ADVISORY SERVICE INC STOCKHOLDER direct 2017-04-01
FINANCIAL COUNSELORS INC DIRECTOR indirect 2000-11-01 2005-03-30
FINANCIAL COUNSELORS INC DIRECTOR direct 2000-11-01 2011-05-12
FINANCIAL COUNSELORS INC DIRECTOR/PRESIDENT indirect 2005-01-01 2011-05-12
BERKLEY, STUART, CARLTON DIRECTOR, SENIOR VICE PRESIDENT,CHIEF WEALTH STRATEGIST 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT,CHIEF WEALTH STRATEGIST direct 2008-04-01
TWO WEST FINANCIAL PARTNERS LLC MEMBER/MANAGER direct 2015-08-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01 2016-04-28
PEROTT, BRIAN, EUGENE DIRECTOR, SENIOR VICE PRESIDENT, MANAGING DIRECTOR, ASSISTANT SECRETARY 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, MANAGING DIRECTOR, ASSISTANT SECRETARY direct 2008-04-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2006-10-18
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2006-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2008-04-01 2016-04-28
SCHAFF, VAL, FREDERICK DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, ASSISTANT SECRETARY 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, ASSISTANT SECRETARY direct 2008-04-01
FINANCIAL COUNSELORS INC SR. VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2000-11-01 2006-10-18
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2006-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2008-04-01 2016-04-28
FCI HOLDING CORPORATION PARENT COMPANY OF FINANCIAL COUNSELORS, INC. 07/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC PARENT COMPANY OF FINANCIAL COUNSELORS, INC. direct 1999-07-01
FIELDSTONE INVESTMENT ADVISORS, LLC PARENT COMPANY OF FIELDSTONE INVESTMENT ADVISORS, LLC direct 2009-08-01
HAGEMANN, ALFRED, CARL DIRECTOR 10/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 2003-10-01
CLOUD, GARY, BRUCE DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER-FIXED INCOME 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC SR. VICE PRESIDENT direct 2003-11-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2003-11-01
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER-FIXED INCOME direct 2008-04-01
SCHAFF, AMY, LYN SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, SECRETARY, ASST. TREASURER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL COUNSELORS INC VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ASST. SECRETARY, ASST. TREASURER direct 2006-04-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, SECRETARY, ASST. TREASURER direct 2010-07-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ASST. SECRETARY, ASST. TREASURER direct 2010-07-01
FIELDSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
HELM, EUGENE, JOSEPH DIRECTOR, MANAGING DIRECTOR, COMPLIANCE OFFICER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, MANAGING DIRECTOR, COMPLIANCE OFFICER direct 2010-07-01
THE WINTHROP CORPORATION DIRECTOR, EXECUTIVE VICE PRESIDENT, CFO direct 1985-01-01 2002-03-11
WRIGHT INVESTORS SERVICE INC DIRECTOR, EXECUTIVE VICE PRESIDENT, CFO direct 1996-01-01 2002-03-11
THE WINTHROP CORPORATION DIRECTOR,PRESIDENT, COO direct 1989-10-01 2004-03-24
WRIGHT INVESTORS SERVICE INC DIRECTOR, PRESIDENT, COO direct 1996-01-01 2004-03-24
THE WINTHROP CORPORATION DIRECTOR,PRESIDENT, COO, CFO direct 1989-10-01 2008-03-25
WRIGHT INVESTORS SERVICE INC DIRECTOR, PRESIDENT, COO, CFO direct 1996-01-01 2008-03-25
THE WINTHROP CORPORATION PRESIDENT, COO, CFO direct 1989-10-01 2009-03-30
WRIGHT INVESTORS SERVICE INC PRESIDENT, COO, CFO direct 1996-01-01 2009-03-30
CHESWICK WRIGHT WEALTH MANAGEMENT LLC AUTHORIZED REPRESENTATIVE direct 2006-01-01 2009-03-30
FINANCIAL COUNSELORS INC DIRECTOR, MANAGING DIRECTOR direct 2010-07-01 2016-04-28
KOEHLER, WILLIAM, EDWARD DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COUNTRY CLUB FINANCIAL SERVICES, INC. DIRECTOR direct 2012-01-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT AND C.E.O direct 2014-08-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01
ETF PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER direct 2008-08-01
TOWER WEALTH MANAGERS, INC. PRESIDENT & CEO AND DIRECTOR direct 2012-01-01
PERRY, STACEY, DEAN DIRECTOR 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 2015-07-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
MUTHER, ANDREW, RICHARD DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
MONTGOMERY, MATTHEW, LINK DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
HILL, BENJAMIN, VINCENT DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
SCHUMANN, DENNIS, PATRICK DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
JOHNSON, TIMOTHY, ANDREW TREASURER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC TREASURER direct 2018-01-01
PATTERSON, KRISTIN, KNIGHT DIRECTOR, SENIOR VICE PRESIDENT, HEAD OF INVESTMENT MANAGER RESEARCH, PORTFOLIO MANAGER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, HEAD OF INVESTMENT MANAGER RESEARCH, PORTFOLIO MANAGER direct 2018-02-01
SOLLARS, SCOTT, PRESTON DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2018-05-01
OTTO, JEFFREY, BRENDON DIRECTOR, VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, SELECT GROWTH 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, SELECT GROWTH direct 2018-05-01
WEST, EMILY, PAGE DIRECTOR, VICE PRESIDENT, DIRECTOR OF WEALTH PLANNING, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, DIRECTOR OF WEALTH PLANNING, PORTFOLIO MANAGER direct 2018-05-01
LAROSE, TODD, ALLEN DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2018-05-01
BERGMAN, BRADLEY, ANTHONY PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD MTC HOLDING CORPORATION 01/01/2005 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MERITAGE PORTFOLIO MANAGEMENT, INC. OWNER direct 2003-09-01
FINANCIAL COUNSELORS INC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD indirect 2005-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC DIRECTOR/ PRESIDENT indirect 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR, CHAIRMAN OF THE BOARD direct 2011-08-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
TWO WEST FINANCIAL PARTNERS LLC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD OF MTC HOLDING CORPORATION (A MEMBER OF TWO WEST FINANCIAL PARTNERS LLC) indirect 2015-08-01
FINANCIAL ADVISORY SERVICE INC STOCKHOLDER direct 2017-04-01
FINANCIAL COUNSELORS INC DIRECTOR indirect 2000-11-01 2005-03-30
FINANCIAL COUNSELORS INC DIRECTOR direct 2000-11-01 2011-05-12
FINANCIAL COUNSELORS INC DIRECTOR/PRESIDENT indirect 2005-01-01 2011-05-12
MTC HOLDING CORPORATION SHAREHOLDER PARENT COMPANY OF FCI HOLDING CORPORATION 01/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC SHAREHOLDER indirect 2005-01-01
ACCESS PARTNERS LLC OWNER direct 2008-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2009-08-01
TWO WEST FINANCIAL PARTNERS LLC MEMBER direct 2015-08-01

FINANCIAL COUNSELORS INC

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
HUNT, GRAHAM, THOMAS DIRECTOR 12/01/1994 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 1994-12-01
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD,SECRETARY direct 1994-12-01 2001-12-12
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD, C.E.O. direct 1994-12-01 2003-03-28
FINANCIAL COUNSELORS INC DIRECTOR,CHAIRMAN OF THE BOARD direct 1994-12-01 2010-09-09
BARNES, BRYANT, PAGE DIRECTOR, VICE CHAIRMAN 04/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN direct 2002-04-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, TREASURER direct 1994-12-01 2002-03-26
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN, TREASURER direct 2002-04-01 2016-04-28
HUNTER, ROBERT, TYLER DIRECTOR, VICE CHAIRMAN 04/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE CHAIRMAN direct 2003-04-01
FIELDSTONE INVESTMENT ADVISORS, LLC MANAGER direct 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR,EXECUTIVE V.P., C.O.O. direct 1998-02-01 2001-12-12
FINANCIAL COUNSELORS INC DIRECTOR,EXECUTIVE V.P., C.O.O., SECRETARY direct 1998-02-01 2002-03-26
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, C.O.O., SECRETARY direct 2002-04-01 2003-03-28
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT, C.E.O., SECRETARY direct 2003-04-01 2014-03-19
ALLISON, MARK, STERLING DIRECTOR, EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER direct 2008-04-01
FINANCIAL COUNSELORS INC EXECUTIVE VICE PRESIDENT direct 2000-11-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2008-04-01 2016-04-28
COURTNEY, WILLIAM, MICHAEL DIRECTOR, SENIOR VICE PRESIDENT,CO-CHIEF INVEST. OFFICER-SELECT GROWTH 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT,CO-CHIEF INVEST. OFFICER-SELECT GROWTH direct 2008-04-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01 2016-04-28
GREIG, PETER, GORDON DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER- FIXED INCOME 02/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER- FIXED INCOME direct 1998-02-01
FINANCIAL COUNSELORS INC DIRECTOR, SR. VICE PRESIDENT direct 1998-02-01 2004-03-23
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 1998-02-01 2016-04-28
BERGMAN, BRADLEY, ANTHONY DIRECTOR, CHAIRMAN OF THE BOARD 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERITAGE PORTFOLIO MANAGEMENT, INC. OWNER direct 2003-09-01
FINANCIAL COUNSELORS INC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD indirect 2005-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC DIRECTOR/ PRESIDENT indirect 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR, CHAIRMAN OF THE BOARD direct 2011-08-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
TWO WEST FINANCIAL PARTNERS LLC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD OF MTC HOLDING CORPORATION (A MEMBER OF TWO WEST FINANCIAL PARTNERS LLC) indirect 2015-08-01
FINANCIAL ADVISORY SERVICE INC STOCKHOLDER direct 2017-04-01
FINANCIAL COUNSELORS INC DIRECTOR indirect 2000-11-01 2005-03-30
FINANCIAL COUNSELORS INC DIRECTOR direct 2000-11-01 2011-05-12
FINANCIAL COUNSELORS INC DIRECTOR/PRESIDENT indirect 2005-01-01 2011-05-12
BERKLEY, STUART, CARLTON DIRECTOR, SENIOR VICE PRESIDENT,CHIEF WEALTH STRATEGIST 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT,CHIEF WEALTH STRATEGIST direct 2008-04-01
TWO WEST FINANCIAL PARTNERS LLC MEMBER/MANAGER direct 2015-08-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01 2016-04-28
PEROTT, BRIAN, EUGENE DIRECTOR, SENIOR VICE PRESIDENT, MANAGING DIRECTOR, ASSISTANT SECRETARY 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, MANAGING DIRECTOR, ASSISTANT SECRETARY direct 2008-04-01
FINANCIAL COUNSELORS INC VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2004-04-01 2006-10-18
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2006-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2008-04-01 2016-04-28
SCHAFF, VAL, FREDERICK DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, ASSISTANT SECRETARY 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, ASSISTANT SECRETARY direct 2008-04-01
FINANCIAL COUNSELORS INC SR. VICE PRESIDENT direct 2000-11-01 2004-03-23
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2000-11-01 2006-10-18
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2006-04-01 2008-03-28
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 2008-04-01 2016-04-28
FCI HOLDING CORPORATION PARENT COMPANY OF FINANCIAL COUNSELORS, INC. 07/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC PARENT COMPANY OF FINANCIAL COUNSELORS, INC. direct 1999-07-01
FIELDSTONE INVESTMENT ADVISORS, LLC PARENT COMPANY OF FIELDSTONE INVESTMENT ADVISORS, LLC direct 2009-08-01
HAGEMANN, ALFRED, CARL DIRECTOR 10/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 2003-10-01
CLOUD, GARY, BRUCE DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER-FIXED INCOME 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC SR. VICE PRESIDENT direct 2003-11-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT direct 2003-11-01
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT direct 2008-04-01
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, CO-CHIEF INVEST. OFFICER-FIXED INCOME direct 2008-04-01
SCHAFF, AMY, LYN SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, SECRETARY, ASST. TREASURER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-03-01
FINANCIAL COUNSELORS INC VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ASST. SECRETARY, ASST. TREASURER direct 2006-04-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, SECRETARY, ASST. TREASURER direct 2010-07-01
FINANCIAL COUNSELORS INC SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ASST. SECRETARY, ASST. TREASURER direct 2010-07-01
FIELDSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
HELM, EUGENE, JOSEPH DIRECTOR, MANAGING DIRECTOR, COMPLIANCE OFFICER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, MANAGING DIRECTOR, COMPLIANCE OFFICER direct 2010-07-01
THE WINTHROP CORPORATION DIRECTOR, EXECUTIVE VICE PRESIDENT, CFO direct 1985-01-01 2002-03-11
WRIGHT INVESTORS SERVICE INC DIRECTOR, EXECUTIVE VICE PRESIDENT, CFO direct 1996-01-01 2002-03-11
THE WINTHROP CORPORATION DIRECTOR,PRESIDENT, COO direct 1989-10-01 2004-03-24
WRIGHT INVESTORS SERVICE INC DIRECTOR, PRESIDENT, COO direct 1996-01-01 2004-03-24
THE WINTHROP CORPORATION DIRECTOR,PRESIDENT, COO, CFO direct 1989-10-01 2008-03-25
WRIGHT INVESTORS SERVICE INC DIRECTOR, PRESIDENT, COO, CFO direct 1996-01-01 2008-03-25
THE WINTHROP CORPORATION PRESIDENT, COO, CFO direct 1989-10-01 2009-03-30
WRIGHT INVESTORS SERVICE INC PRESIDENT, COO, CFO direct 1996-01-01 2009-03-30
CHESWICK WRIGHT WEALTH MANAGEMENT LLC AUTHORIZED REPRESENTATIVE direct 2006-01-01 2009-03-30
FINANCIAL COUNSELORS INC DIRECTOR, MANAGING DIRECTOR direct 2010-07-01 2016-04-28
KOEHLER, WILLIAM, EDWARD DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COUNTRY CLUB FINANCIAL SERVICES, INC. DIRECTOR direct 2012-01-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT AND C.E.O direct 2014-08-01
FINANCIAL COUNSELORS INC DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2014-08-01
ETF PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER direct 2008-08-01
TOWER WEALTH MANAGERS, INC. PRESIDENT & CEO AND DIRECTOR direct 2012-01-01
PERRY, STACEY, DEAN DIRECTOR 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR direct 2015-07-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
MUTHER, ANDREW, RICHARD DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
MONTGOMERY, MATTHEW, LINK DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
HILL, BENJAMIN, VINCENT DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
SCHUMANN, DENNIS, PATRICK DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2016-07-01
Johnson, Timothy, Andrew TREASURER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC TREASURER direct 2018-01-01
PATTERSON, KRISTIN, KNIGHT DIRECTOR, SENIOR VICE PRESIDENT, HEAD OF INVESTMENT MANAGER RESEARCH, PORTFOLIO MANAGER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, SENIOR VICE PRESIDENT, HEAD OF INVESTMENT MANAGER RESEARCH, PORTFOLIO MANAGER direct 2018-02-01
SOLLARS, SCOTT, PRESTON DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2018-05-01
OTTO, JEFFREY, BRENDON DIRECTOR, VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, SELECT GROWTH 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER, SELECT GROWTH direct 2018-05-01
WEST, EMILY, PAGE DIRECTOR, VICE PRESIDENT, DIRECTOR OF WEALTH PLANNING, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, DIRECTOR OF WEALTH PLANNING, PORTFOLIO MANAGER direct 2018-05-01
LAROSE, TODD, ALLEN DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2018-05-01
BERGMAN, BRADLEY, ANTHONY PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD MTC HOLDING CORPORATION 01/01/2005 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MERITAGE PORTFOLIO MANAGEMENT, INC. OWNER direct 2003-09-01
FINANCIAL COUNSELORS INC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD indirect 2005-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC DIRECTOR/ PRESIDENT indirect 2009-08-01
FINANCIAL COUNSELORS INC DIRECTOR, CHAIRMAN OF THE BOARD direct 2011-08-01
TWO WEST FINANCIAL PARTNERS LLC MANAGER direct 2015-08-01
TWO WEST FINANCIAL PARTNERS LLC PRESIDENT, DIRECTOR, CHAIRMAN OF THE BOARD OF MTC HOLDING CORPORATION (A MEMBER OF TWO WEST FINANCIAL PARTNERS LLC) indirect 2015-08-01
FINANCIAL ADVISORY SERVICE INC STOCKHOLDER direct 2017-04-01
FINANCIAL COUNSELORS INC DIRECTOR indirect 2000-11-01 2005-03-30
FINANCIAL COUNSELORS INC DIRECTOR direct 2000-11-01 2011-05-12
FINANCIAL COUNSELORS INC DIRECTOR/PRESIDENT indirect 2005-01-01 2011-05-12
MTC HOLDING CORPORATION SHAREHOLDER PARENT COMPANY OF FCI HOLDING CORPORATION 01/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL COUNSELORS INC SHAREHOLDER indirect 2005-01-01
ACCESS PARTNERS LLC OWNER direct 2008-01-01
FIELDSTONE INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2009-08-01
TWO WEST FINANCIAL PARTNERS LLC MEMBER direct 2015-08-01

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