FORMULAFOLIO INVESTMENTS, LLC

HTTP://FORMULAFOLIOFUNDS.COM GRAND RAPIDS, MI Investment Advisor How do I update this listing?

Formulafolio Investments is based out of Grand Rapids. Formulafolio Investments is a large advisory firm with 19130 clients and discretionary assets under management (AUM) of $2,988,035,002 (Form ADV from 2019-10-25). Their last reported 13F filing for Q4 2019 included $2,806,697,000 in managed 13F securities and a top 10 holdings concentration of 45.49%. Formulafolio Investments's largest holding is FormulaFolios Tactical Income ETF with shares held of 9,697,841. Formulafolio Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 21 13F filings

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67

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $2.807 Billion
  • Prior Market Value $2.589 Billion
  • New Purchases58 stocks
  • Additional Purchases147 stocks
  • Sold out of33 stocks
  • Reduced holdings in145 stocks
  • Top 10 Holdings % 45.49 %
  • Turnover % [1]:25.14%
  • Turnover Alt % [2]: 17.53 %
  • Time Held Top20:6.45 quarters
  • Time Held Top10:6.80 quarters
  • Time Held All:7.07 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: 3.03%
Performance Last 4 Quarters: 10.23%
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:
  • 2019-12-31 - 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)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FORMULA FOLIO INVESTMENTS
89 IONIA AVE NW SUITE 600
GRAND RAPIDS MI    49503
Country: United States

Business Phone: 616-667-2150
Fax: 616-667-2218
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MI
Number of employees: 114
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Subscription fees,SELECTION OF OTHER ADVISERS
Amount of client funds and securities: 155,371,000
Total Number of Clients: 19130
Amount of client funds and securities by related persons: 121,936,000
Total Number of clients from related persons: 827
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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FORMULA FOLIO INVESTMENTS, LLC

ownership team - last updated 2019-09-20
Name Title Start Date Direct/Indirect % Ownership
WENK, JASON, ROBERT MANAGING MEMBER / EXECUTIVE DIRECTOR OF PRODUCT DEVELOPMENT / STRATEGIC CONSULTANT 09/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER / MANAGING MEMBER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2016-06-01
CRUMP, JASON, MICHAEL MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER (CEO) 09/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF CORPORATE BENEFITS direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. VICE PRESIDENT direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
VANWOERKOM, JOEL, GERALD MANAGING MEMBER/ PRESIDENT 09/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SECRETARY direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
ODOM, STEPHEN, WALKER MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, STEVEN, MONROE MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, ANDREW, ALDEN MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
GEORGE, BRANDON, DAVID MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
NOLAN, EDWARD, WILLIAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
ASHTON, STEPHEN, ABRAHAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
TYLER, DANIELLE, LYNNE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2015-11-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
Ferris, Diane, Marie CHIEF FINANCIAL OFFICER / CHIEF ADMINISTRATION OFFICER / SECRETARY / TREASURER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-03-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2017-03-01
Ward, James, Walter CHIEF PEOPLE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA FOLIO INVESTMENTS, LLC CHIEF PEOPLE OFFICER direct 2018-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF PEOPLE OFFICER direct 2018-09-01
LESTER, ROBERT, MICHAEL MEMBER 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2018-11-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2018-11-01

FORMULA FOLIO INVESTMENTS, LLC

ownership team - last updated 2019-05-24
Name Title Start Date Direct/Indirect % Ownership
WENK, JASON, ROBERT MANAGING MEMBER / EXECUTIVE DIRECTOR OF PRODUCT DEVELOPMENT / STRATEGIC CONSULTANT 09/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER / MANAGING MEMBER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2016-06-01
CRUMP, JASON, MICHAEL MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER (CEO) 09/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF CORPORATE BENEFITS direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. VICE PRESIDENT direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
VANWOERKOM, JOEL, GERALD MANAGING MEMBER/ PRESIDENT 09/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SECRETARY direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
ODOM, STEPHEN, WALKER MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, STEVEN, MONROE MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, ANDREW, ALDEN MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
GEORGE, BRANDON, DAVID MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
NOLAN, EDWARD, WILLIAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
ASHTON, STEPHEN, ABRAHAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
TYLER, DANIELLE, LYNNE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2015-11-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
Ferris, Diane, Marie CHIEF FINANCIAL OFFICER / CHIEF ADMINISTRATION OFFICER / SECRETARY / TREASURER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-03-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2017-03-01
Ward, James, Walter CHIEF PEOPLE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA FOLIO INVESTMENTS, LLC CHIEF PEOPLE OFFICER direct 2018-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF PEOPLE OFFICER direct 2018-09-01
LESTER, ROBERT, MICHAEL MEMBER 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2018-11-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2018-11-01

FORMULA FOLIO INVESTMENTS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
WENK, JASON, ROBERT MANAGING MEMBER / EXECUTIVE DIRECTOR OF PRODUCT DEVELOPMENT / STRATEGIC CONSULTANT 09/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER / MANAGING MEMBER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2016-06-01
CRUMP, JASON, MICHAEL MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER (CEO) 09/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF CORPORATE BENEFITS direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. VICE PRESIDENT direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
VANWOERKOM, JOEL, GERALD MANAGING MEMBER/ PRESIDENT 09/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SECRETARY direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
ODOM, STEPHEN, WALKER MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, STEVEN, MONROE MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, ANDREW, ALDEN MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
GEORGE, BRANDON, DAVID MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
NOLAN, EDWARD, WILLIAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
ASHTON, STEPHEN, ABRAHAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
TYLER, DANIELLE, LYNNE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2015-11-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
Ferris, Diane, Marie CHIEF FINANCIAL OFFICER / CHIEF ADMINISTRATION OFFICER / SECRETARY / TREASURER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-03-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2017-03-01
Ward, James, Walter CHIEF PEOPLE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA FOLIO INVESTMENTS, LLC CHIEF PEOPLE OFFICER direct 2018-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF PEOPLE OFFICER direct 2018-09-01
LESTER, ROBERT, MICHAEL MEMBER 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2018-11-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2018-11-01

FORMULA FOLIO INVESTMENTS, LLC

ownership team - last updated 2018-12-14
Name Title Start Date Direct/Indirect % Ownership
ODOM, STEPHEN, WALKER MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
WENK, JASON, ROBERT MANAGING MEMBER / EXECUTIVE DIRECTOR OF PRODUCT DEVELOPMENT / STRATEGIC CONSULTANT 09/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER / MANAGING MEMBER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2016-06-01
CRUMP, JASON, MICHAEL MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER (CEO) 09/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF CORPORATE BENEFITS direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. VICE PRESIDENT direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
VANWOERKOM, JOEL, GERALD MANAGING MEMBER/ PRESIDENT 09/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SECRETARY direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
CRAIG, STEVEN, MONROE MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, ANDREW, ALDEN MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
GEORGE, BRANDON, DAVID MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
NOLAN, EDWARD, WILLIAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
ASHTON, STEPHEN, ABRAHAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
TYLER, DANIELLE, LYNNE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2015-11-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
Ferris, Diane, Marie CHIEF FINANCIAL OFFICER / CHIEF ADMINISTRATION OFFICER / SECRETARY / TREASURER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-03-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2017-03-01
Ward, James, Walter CHIEF PEOPLE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA FOLIO INVESTMENTS, LLC CHIEF PEOPLE OFFICER direct 2018-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF PEOPLE OFFICER direct 2018-09-01
LESTER, ROBERT, MICHAEL MEMBER 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2018-11-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2018-11-01

FORMULA FOLIO INVESTMENTS, LLC

ownership team - last updated 2018-05-04
Name Title Start Date Direct/Indirect % Ownership
WENK, JASON, ROBERT MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER 06/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER / PRESIDENT direct 2005-09-01
RETIREMENT WEALTH ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER / MANAGING MEMBER direct 2011-01-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2016-06-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2016-06-01
CRUMP, JASON, MICHAEL MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF CORPORATE BENEFITS direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. VICE PRESIDENT direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF CORPORATE BENEFITS direct 2014-01-01
VANWOERKOM, JOEL, GERALD MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SECRETARY direct 2012-12-01
RETIREMENT WEALTH ADVISORS, INC. DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2012-12-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
FORMULA FOLIO INVESTMENTS, LLC MANAGING MEMBER/ DIRECTOR OF FINANCIAL PLANNING/SECRETARY direct 2014-01-01
ODOM, STEPHEN, WALKER MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, STEVEN, MONROE MEMBER 01/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
CRAIG, ANDREW, ALDEN MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
GEORGE, BRANDON, DAVID MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
NOLAN, EDWARD, WILLIAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
ASHTON, STEPHEN, ABRAHAM MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC SHAREHOLDER direct 2015-01-01
FORMULA FOLIO INVESTMENTS, LLC MEMBER direct 2015-01-01
TYLER, DANIELLE, LYNNE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2015-11-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
Ferris, Diane, Marie CHIEF FINANCIAL OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RETIREMENT WEALTH ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-03-01
FORMULA FOLIO INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2017-03-01

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