GFS ADVISORS, LLC

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GFS Advisors is based out of Houston. GFS Advisors is a large advisory firm with 482 clients and discretionary assets under management (AUM) of $1,622,248,433 (Form ADV from 2020-06-30). Their last reported 13F filing for Q2 2020 included $324,264,000 in managed 13F securities and a top 10 holdings concentration of 40.68%. GFS Advisors's largest holding is Apple Inc with shares held of 72,462. Whalewisdom has at least 56 13F filings

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06/30/2020

13F Activity

  • Market Value $324.264 Million
  • Prior Market Value $320.296 Million
  • New Purchases10 stocks
  • Additional Purchases27 stocks
  • Sold out of11 stocks
  • Reduced holdings in50 stocks
  • Top 10 Holdings % 40.68 %
  • Turnover % [1]:17.65%
  • Turnover Alt % [2]: 25.15 %
  • Time Held Top20:13.70 quarters
  • Time Held Top10:9.70 quarters
  • Time Held All:21.81 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 30.86%
Performance Last 4 Quarters: -10.8%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GFS ADVISORS LLC
1330 POST OAK BLVD., SUITE 2100
HOUSTON TX    77056
Country: United States

Business Phone: 713-968-0400
Fax: 713-968-0499
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TX
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 482
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.E (2)
Data above was derived from SEC filings.

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GFS ADVISORS LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
BRUNO, JOHN, KENNETH CHIEF OPERATING OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT, WEALTH MANAGEMENT direct 2010-06-01
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT direct 2010-06-01
STANFORD GROUP COMPANY VP COMPLIANCE MANAGER, CROP direct 2006-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
USF SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
USF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
USF ALTERNATIVE SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER direct 2010-12-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER AND BOARD OF MANAGERS direct 2010-12-01
REPA, JACK, BRANDON CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
GFS HOLDINGS, LLC SOLE MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC SOLE MEMBER direct 2018-01-01
AFFILIATED WEALTH PARTNERS HOLDINGS LLC MEMBER-MANAGED GFS HOLDINGS, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MAMAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
LEE, THOMAS, HASKELL MANAGING MEMBER LEE EQUITY PARTNERS, LLC 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THOMAS H. LEE ADVISORS II, L.P. INDIVIDUAL GENERAL PARTNER direct 1988-09-01
THL EQUITY ADVISORS LIMITED PARTNERSHIP INDIVIDUAL GENERAL PARTNER direct 1989-08-01
THL EQUITY ADVISORS III LIMITED PARTNERSHIP LIMITED PARTNER direct 1995-02-01
THOMAS H. LEE CAPITAL MANAGEMENT MANAGING MEMBER indirect 1996-12-01
LEE CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 1997-01-01
THL EQUITY ADVISORS IV, LLC GENERAL PARTNER direct 1997-11-01
THL MANAGERS V, LLC PRESIDENT direct 2000-02-01
THOMAS H. LEE CAPITAL MANAGEMENT, LLC PRESIDENT direct 2005-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2006-08-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01
LEE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2014-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MEMBER OF THE INVESTMENT COMMITTEE direct 2001-05-01 2005-07-20
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2012-09-26
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2008-02-01 2012-09-26
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01 2012-09-26
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01 2012-09-26
LEE EQUITY PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2006-08-01 2013-01-02
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01 2013-02-11
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-03-28
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-03-28
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2014-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2014-04-29
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-05-28
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-07-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2008-02-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-08-28
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2006-08-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2008-02-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01 2014-08-29
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-09-04
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2008-02-01 2014-09-10
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01 2014-09-10
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-09-10
GFS ADVISORS LLC MANAGING MEMBER indirect 2008-02-01 2014-11-25
GFS ADVISORS LLC MANAGER indirect 2012-09-01 2014-11-25
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2008-02-01 2015-02-04
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-23
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2008-02-01 2015-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2015-03-31
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-31
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2008-02-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01 2015-06-17
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-07-13
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2008-02-01 2015-08-13
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2006-08-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGER indirect 2008-02-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2015-10-26
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01 2016-04-05
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2006-08-01 2016-10-12
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2006-08-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-24
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2006-08-01 2017-03-28
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2006-08-01 2017-05-04
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2006-08-01 2017-06-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2017-07-05
LEE EQUITY PARTNERS, LLC MANAGER LEP SUMMER HOLDINGS, LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
AWP II LLC MEMBER-MANAGED AFFILIATED WEALTH PARTNERS HOLDINGS LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP I LP MEMBER-MANAGED AWP II LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP GP LLC GENERAL PARTNER AWP I LP 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
LEP SUMMER HOLDINGS, LLC LIMITED PARTNER AWP I LP 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. LIMITED PARTNER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER LP indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-04-01
THE RIKOON GROUP, LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC LIMITED PARTNER indirect 2012-04-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2015-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-04-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2015-09-01
LEE EQUITY PARTNERS, LLC MEMBER AWP GP LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
GORMLEY, MARK, KEVIN BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
RODRIGUEZ, DANIEL, JOSEPH BOARD OF MANAGERS AWP GP LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2016-02-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2016-02-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2016-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2016-02-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2016-02-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC MANAGER indirect 2016-02-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2016-02-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2016-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2016-02-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2016-02-01
LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. MEMBER LEP SUMMER HOLDINGS, LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
LEP REALIZATION SUMMER LLC LIMITED PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2016-03-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2016-03-01
LEP REALIZATION FEEDER, L.P. MEMBER LEP REALIZATION SUMMER LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEP REALIZATION FEEDER, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
GORMLEY, MARK, KEVIN MANAGING MEMBER LEE EQUITY PARTNERS REALIZATION FUND GP, LLC 03/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
Hsu, Eric BOARD OF MANAGERS AWP GP LLC 12/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2017-12-01
CHAPA, GERARDO, ARTURO BOARD OF MANAGERS AWP GP LLC 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC MANAGING DIRECTOR,BOARD OF MANAGERS AND MEMBER direct 2007-01-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER (INTERIM), MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR, BOARD OF MANAGERS direct 2007-01-01
GFS ADVISORS LLC MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01

GFS ADVISORS LLC

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

GFS ADVISORS LLC

ownership team - last updated 2019-11-19
Name Title Start Date Direct/Indirect % Ownership
BRUNO, JOHN, KENNETH CHIEF OPERATING OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT, WEALTH MANAGEMENT direct 2010-06-01
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT direct 2010-06-01
STANFORD GROUP COMPANY VP COMPLIANCE MANAGER, CROP direct 2006-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
USF SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
USF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
USF ALTERNATIVE SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER direct 2010-12-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER AND BOARD OF MANAGERS direct 2010-12-01
REPA, JACK, BRANDON CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
GFS HOLDINGS, LLC SOLE MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC SOLE MEMBER direct 2018-01-01
LEE, THOMAS, HASKELL MANAGING MEMBER LEE EQUITY PARTNERS, LLC 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THOMAS H. LEE ADVISORS II, L.P. INDIVIDUAL GENERAL PARTNER direct 1988-09-01
THL EQUITY ADVISORS LIMITED PARTNERSHIP INDIVIDUAL GENERAL PARTNER direct 1989-08-01
THL EQUITY ADVISORS III LIMITED PARTNERSHIP LIMITED PARTNER direct 1995-02-01
THOMAS H. LEE CAPITAL MANAGEMENT MANAGING MEMBER indirect 1996-12-01
LEE CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 1997-01-01
THL EQUITY ADVISORS IV, LLC GENERAL PARTNER direct 1997-11-01
THL MANAGERS V, LLC PRESIDENT direct 2000-02-01
THOMAS H. LEE CAPITAL MANAGEMENT, LLC PRESIDENT direct 2005-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2006-08-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01
LEE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2014-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MEMBER OF THE INVESTMENT COMMITTEE direct 2001-05-01 2005-07-20
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2012-09-26
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2008-02-01 2012-09-26
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01 2012-09-26
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01 2012-09-26
LEE EQUITY PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2006-08-01 2013-01-02
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01 2013-02-11
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-03-28
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-03-28
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2014-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2014-04-29
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-05-28
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-07-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2008-02-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-08-28
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2006-08-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2008-02-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01 2014-08-29
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-09-04
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2008-02-01 2014-09-10
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01 2014-09-10
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-09-10
GFS ADVISORS LLC MANAGING MEMBER indirect 2008-02-01 2014-11-25
GFS ADVISORS LLC MANAGER indirect 2012-09-01 2014-11-25
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2008-02-01 2015-02-04
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-23
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2008-02-01 2015-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2015-03-31
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-31
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2008-02-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01 2015-06-17
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-07-13
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2008-02-01 2015-08-13
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2006-08-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGER indirect 2008-02-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2015-10-26
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01 2016-04-05
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2006-08-01 2016-10-12
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2006-08-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-24
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2006-08-01 2017-03-28
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2006-08-01 2017-05-04
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2006-08-01 2017-06-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2017-07-05
LEE EQUITY PARTNERS, LLC MANAGER LEP SUMMER HOLDINGS, LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
AFFILIATED WEALTH PARTNERS HOLDINGS LLC MEMBER-MANAGED GFS HOLDINGS, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MAMAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP II LLC MEMBER-MANAGED AFFILIATED WEALTH PARTNERS HOLDINGS LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP I LP MEMBER-MANAGED AWP II LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP GP LLC GENERAL PARTNER AWP I LP 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
LEP SUMMER HOLDINGS, LLC LIMITED PARTNER AWP I LP 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. LIMITED PARTNER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER LP indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-04-01
THE RIKOON GROUP, LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC LIMITED PARTNER indirect 2012-04-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2015-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-04-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2015-09-01
LEE EQUITY PARTNERS, LLC MEMBER AWP GP LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
GORMLEY, MARK, KEVIN BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
RODRIGUEZ, DANIEL, JOSEPH BOARD OF MANAGERS AWP GP LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2016-02-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2016-02-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2016-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2016-02-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2016-02-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC MANAGER indirect 2016-02-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2016-02-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2016-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2016-02-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2016-02-01
LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. MEMBER LEP SUMMER HOLDINGS, LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
LEP REALIZATION SUMMER LLC LIMITED PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2016-03-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2016-03-01
LEP REALIZATION FEEDER, L.P. MEMBER LEP REALIZATION SUMMER LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEP REALIZATION FEEDER, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
GORMLEY, MARK, KEVIN MANAGING MEMBER LEE EQUITY PARTNERS REALIZATION FUND GP, LLC 03/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
Hsu, Eric BOARD OF MANAGERS AWP GP LLC 12/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2017-12-01
CHAPA, GERARDO, ARTURO BOARD OF MANAGERS AWP GP LLC 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC MANAGING DIRECTOR,BOARD OF MANAGERS AND MEMBER direct 2007-01-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER (INTERIM), MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR, BOARD OF MANAGERS direct 2007-01-01
GFS ADVISORS LLC MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01

GFS ADVISORS LLC

ownership team - last updated 2019-04-01
Name Title Start Date Direct/Indirect % Ownership
REPA, JACK, BRANDON CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
BRUNO, JOHN, KENNETH CHIEF OPERATING OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT, WEALTH MANAGEMENT direct 2010-06-01
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT direct 2010-06-01
STANFORD GROUP COMPANY VP COMPLIANCE MANAGER, CROP direct 2006-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
USF SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
USF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
USF ALTERNATIVE SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER direct 2010-12-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER AND BOARD OF MANAGERS direct 2010-12-01
GFS HOLDINGS, LLC SOLE MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC SOLE MEMBER direct 2018-01-01
LEE, THOMAS, HASKELL MANAGING MEMBER LEE EQUITY PARTNERS, LLC 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THOMAS H. LEE ADVISORS II, L.P. INDIVIDUAL GENERAL PARTNER direct 1988-09-01
THL EQUITY ADVISORS LIMITED PARTNERSHIP INDIVIDUAL GENERAL PARTNER direct 1989-08-01
THL EQUITY ADVISORS III LIMITED PARTNERSHIP LIMITED PARTNER direct 1995-02-01
THOMAS H. LEE CAPITAL MANAGEMENT MANAGING MEMBER indirect 1996-12-01
LEE CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 1997-01-01
THL EQUITY ADVISORS IV, LLC GENERAL PARTNER direct 1997-11-01
THL MANAGERS V, LLC PRESIDENT direct 2000-02-01
THOMAS H. LEE CAPITAL MANAGEMENT, LLC PRESIDENT direct 2005-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2006-08-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01
LEE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2014-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MEMBER OF THE INVESTMENT COMMITTEE direct 2001-05-01 2005-07-20
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2012-09-26
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2008-02-01 2012-09-26
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01 2012-09-26
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01 2012-09-26
LEE EQUITY PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2006-08-01 2013-01-02
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01 2013-02-11
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-03-28
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-03-28
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2014-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2014-04-29
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-05-28
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-07-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2008-02-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-08-28
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2006-08-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2008-02-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01 2014-08-29
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-09-04
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2008-02-01 2014-09-10
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01 2014-09-10
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-09-10
GFS ADVISORS LLC MANAGING MEMBER indirect 2008-02-01 2014-11-25
GFS ADVISORS LLC MANAGER indirect 2012-09-01 2014-11-25
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2008-02-01 2015-02-04
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-23
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2008-02-01 2015-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2015-03-31
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-31
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2008-02-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01 2015-06-17
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-07-13
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2008-02-01 2015-08-13
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2006-08-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGER indirect 2008-02-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2015-10-26
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01 2016-04-05
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2006-08-01 2016-10-12
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2006-08-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-24
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2006-08-01 2017-03-28
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2006-08-01 2017-05-04
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2006-08-01 2017-06-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2017-07-05
LEE EQUITY PARTNERS, LLC MANAGER LEP SUMMER HOLDINGS, LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
AFFILIATED WEALTH PARTNERS HOLDINGS LLC MEMBER-MANAGED GFS HOLDINGS, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MAMAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP II LLC MEMBER-MANAGED AFFILIATED WEALTH PARTNERS HOLDINGS LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP I LP MEMBER-MANAGED AWP II LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP GP LLC GENERAL PARTNER AWP I LP 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
LEP SUMMER HOLDINGS, LLC LIMITED PARTNER AWP I LP 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. LIMITED PARTNER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER LP indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-04-01
THE RIKOON GROUP, LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC LIMITED PARTNER indirect 2012-04-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2015-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-04-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2015-09-01
LEE EQUITY PARTNERS, LLC MEMBER AWP GP LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
GORMLEY, MARK, KEVIN BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
RODRIGUEZ, DANIEL, JOSEPH BOARD OF MANAGERS AWP GP LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2016-02-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2016-02-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2016-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2016-02-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2016-02-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC MANAGER indirect 2016-02-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2016-02-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2016-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2016-02-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2016-02-01
LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. MEMBER LEP SUMMER HOLDINGS, LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
LEP REALIZATION SUMMER LLC LIMITED PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2016-03-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2016-03-01
LEP REALIZATION FEEDER, L.P. MEMBER LEP REALIZATION SUMMER LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEP REALIZATION FEEDER, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
GORMLEY, MARK, KEVIN MANAGING MEMBER LEE EQUITY PARTNERS REALIZATION FUND GP, LLC 03/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
Hsu, Eric BOARD OF MANAGERS AWP GP LLC 12/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2017-12-01
CHAPA, GERARDO, ARTURO BOARD OF MANAGERS AWP GP LLC 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC MANAGING DIRECTOR,BOARD OF MANAGERS AND MEMBER direct 2007-01-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER (INTERIM), MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR direct 2007-01-01
GFS ADVISORS LLC MANAGING DIRECTOR, BOARD OF MANAGERS direct 2007-01-01
GFS ADVISORS LLC MANAGING MEMBER, MANAGING DIRECTOR direct 2007-01-01

GFS ADVISORS LLC

ownership team - last updated 2018-10-22
Name Title Start Date Direct/Indirect % Ownership
BRUNO, JOHN, KENNETH CHIEF OPERATING OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT, WEALTH MANAGEMENT direct 2010-06-01
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT direct 2010-06-01
STANFORD GROUP COMPANY VP COMPLIANCE MANAGER, CROP direct 2006-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
USF SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
USF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
USF ALTERNATIVE SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER direct 2010-12-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER AND BOARD OF MANAGERS direct 2010-12-01
REPA, JACK, BRANDON CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
GFS HOLDINGS, LLC SOLE MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC SOLE MEMBER direct 2018-01-01
AFFILIATED WEALTH PARTNERS HOLDINGS LLC MEMBER-MANAGED GFS HOLDINGS, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MAMAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
EDELMAN, FREDRIC, MARK SHAREHOLDER THE EDELMAN FINANCIAL CENTER, INC. 06/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 1996-06-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF THE EDELMAN FINANCIAL, INC indirect 1996-06-01
SMH CAPITAL INC. DIRECTOR direct 2009-05-01
SANDERS MORRIS HARRIS INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SANDERS MORRIS HARRIS INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 1996-06-01
SMH CAPITAL ADVISORS LLC SHAREHOLDER OF THE EDELMAN FINANCIAL CENTER, INC indirect 1996-06-01
SMH CAPITAL ADVISORS, INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
HARVEY INVESTMENT COMPANY, LLC SHAREHOLDER indirect 1996-06-01
HARVEY INVESTMENT COMPANY, LLC SOLE SHAREHOLDER indirect 1996-06-01
DUNCKER, STREETT & CO., LLC SOLE SHAREHOLDER indirect 1996-06-01
DUNCKER, STREETT & CO., LLC SHAREHOLDER indirect 1996-06-01
MILLER-GREEN FINANCIAL SERVICES LLC SHAREHOLDER indirect 1996-06-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN direct 1987-12-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 1996-06-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF THE EDELMAN FINANCIAL CENTER, INC. indirect 1996-06-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN, BOARD OF MANAGERS AND CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN AND CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN & CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MINORITY OWNER indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN/MINORITY OWNER EFC LLC indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL SERVICES, LLC EXECUTIVE CHAIRMAN direct 2015-12-01
DELTA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
DELTA ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
KANAWHA CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
KANAWHA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 1996-06-01
THE RIKOON GROUP, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
THE RIKOON GROUP, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
SOF MANAGEMENT, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST ARIZONA LLC SOLE SHAREHOLDER indirect 1996-06-01
GFS ADVISORS LLC SHAREHOLDER indirect 1996-06-01
GFS ADVISORS LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
GFS ADVISORS LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL ADVISORS LLC CHAIRMAN AND CEO direct 2006-12-01
WEALTHTRUST FAIRPORT, LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST FAIRPORT, LLC SOLE SHAREHOLDER indirect 1996-06-01
WEALTHTRUST AXIOM, LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST AXIOM, LLC SOLE SHAREHOLDER indirect 1996-06-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 1996-06-01
LEONETTI & ASSOCIATES, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
LEONETTI & ASSOCIATES, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
KISSINGER FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-06-01
LEE, THOMAS, HASKELL MANAGING MEMBER LEE EQUITY PARTNERS, LLC 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THOMAS H. LEE ADVISORS II, L.P. INDIVIDUAL GENERAL PARTNER direct 1988-09-01
THL EQUITY ADVISORS LIMITED PARTNERSHIP INDIVIDUAL GENERAL PARTNER direct 1989-08-01
THL EQUITY ADVISORS III LIMITED PARTNERSHIP LIMITED PARTNER direct 1995-02-01
THOMAS H. LEE CAPITAL MANAGEMENT MANAGING MEMBER indirect 1996-12-01
LEE CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 1997-01-01
THL EQUITY ADVISORS IV, LLC GENERAL PARTNER direct 1997-11-01
THL MANAGERS V, LLC PRESIDENT direct 2000-02-01
THOMAS H. LEE CAPITAL MANAGEMENT, LLC PRESIDENT direct 2005-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2006-08-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01
LEE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2014-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MEMBER OF THE INVESTMENT COMMITTEE direct 2001-05-01 2005-07-20
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2012-09-26
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2008-02-01 2012-09-26
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01 2012-09-26
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01 2012-09-26
LEE EQUITY PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2006-08-01 2013-01-02
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01 2013-02-11
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-03-28
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-03-28
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2014-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2014-04-29
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-05-28
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-07-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2008-02-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-08-28
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2006-08-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2008-02-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01 2014-08-29
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-09-04
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2008-02-01 2014-09-10
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01 2014-09-10
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-09-10
GFS ADVISORS LLC MANAGING MEMBER indirect 2008-02-01 2014-11-25
GFS ADVISORS LLC MANAGER indirect 2012-09-01 2014-11-25
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2008-02-01 2015-02-04
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-23
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2008-02-01 2015-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2015-03-31
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-31
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2008-02-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01 2015-06-17
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-07-13
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2008-02-01 2015-08-13
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2006-08-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGER indirect 2008-02-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2015-10-26
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01 2016-04-05
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2006-08-01 2016-10-12
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2006-08-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-24
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2006-08-01 2017-03-28
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2006-08-01 2017-05-04
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2006-08-01 2017-06-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2017-07-05
LEE EQUITY PARTNERS, LLC MANAGER LEP SUMMER HOLDINGS, LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
AWP II LLC MEMBER-MANAGED AFFILIATED WEALTH PARTNERS HOLDINGS LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP I LP MEMBER-MANAGED AWP II LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP GP LLC GENERAL PARTNER AWP I LP 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
LEP SUMMER HOLDINGS, LLC LIMITED PARTNER AWP I LP 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. LIMITED PARTNER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER LP indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-04-01
THE RIKOON GROUP, LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC LIMITED PARTNER indirect 2012-04-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2015-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-04-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2015-09-01
LEE EQUITY PARTNERS, LLC MEMBER AWP GP LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
THE EDELMAN FINANCIAL CENTER, INC. MEMBER AWP GP LLC 09/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
GORMLEY, MARK, KEVIN BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
MCMAKEN, BRUCE, ROBERT BOARD OF MANAGERS AWP GP LLC 12/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH GROUP INVESTMENT ADVISORS INC. VICE PRESIDENT direct 2005-12-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-12-01
GFS ADVISORS LLC MANAGER indirect 2015-12-01
CUMMER MOYERS CAPITAL ADVISORS INC VICE PRESIDENT direct 2000-10-01 2008-01-29
SMH CAPITAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT direct 2008-03-01 2009-04-08
SMH CAPITAL INC. EXECUTIVE VICE PRESIDENT – CORPORATE direct 2008-03-01 2009-05-26
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2011-04-01 2012-11-06
SANDERS MORRIS HARRIS INC. EXECUTIVE VICE PRESIDENT / DIRECTOR direct 2008-03-01 2013-01-16
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2011-03-01 2013-02-11
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01 2013-03-26
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-12-01 2016-10-12
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-12-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-24
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-28
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-12-01 2017-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-05-04
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-12-01 2017-06-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-12-01 2017-07-05
RODRIGUEZ, DANIEL, JOSEPH BOARD OF MANAGERS AWP GP LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2016-02-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2016-02-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2016-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2016-02-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2016-02-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC MANAGER indirect 2016-02-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2016-02-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2016-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2016-02-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2016-02-01
LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. MEMBER LEP SUMMER HOLDINGS, LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
LEP REALIZATION SUMMER LLC LIMITED PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2016-03-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2016-03-01
LEP REALIZATION FEEDER, L.P. MEMBER LEP REALIZATION SUMMER LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEP REALIZATION FEEDER, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
GORMLEY, MARK, KEVIN MANAGING MEMBER LEE EQUITY PARTNERS REALIZATION FUND GP, LLC 03/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
Hsu, Eric BOARD OF MANAGERS AWP GP LLC 12/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2017-12-01

GFS ADVISORS LLC

ownership team - last updated 2018-05-18
Name Title Start Date Direct/Indirect % Ownership
BRUNO, JOHN, KENNETH CHIEF OPERATING OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT, WEALTH MANAGEMENT direct 2010-06-01
SANDERS MORRIS HARRIS INC. SENIOR VICE PRESIDENT direct 2010-06-01
STANFORD GROUP COMPANY VP COMPLIANCE MANAGER, CROP direct 2006-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR direct 2013-09-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS direct 2015-09-01
USF SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
USF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS direct 2014-06-01
USF ALTERNATIVE SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2008-08-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER direct 2010-12-01
GFS ADVISORS LLC CHIEF OPERATING OFFICER AND BOARD OF MANAGERS direct 2010-12-01
REPA, JACK, BRANDON CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONDERA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
GFS ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
USCA RIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
GFS HOLDINGS, LLC SOLE MEMBER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC SOLE MEMBER direct 2018-01-01
EDELMAN, FREDRIC, MARK SHAREHOLDER THE EDELMAN FINANCIAL CENTER, INC. 06/01/1996 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. SHAREHOLDER indirect 1996-06-01
SANDERS MORRIS HARRIS INC. SHAREHOLDER OF THE EDELMAN FINANCIAL, INC indirect 1996-06-01
SMH CAPITAL INC. DIRECTOR direct 2009-05-01
SANDERS MORRIS HARRIS INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SANDERS MORRIS HARRIS INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
SMH CAPITAL ADVISORS, INC. SHAREHOLDER indirect 1996-06-01
SMH CAPITAL ADVISORS LLC SHAREHOLDER OF THE EDELMAN FINANCIAL CENTER, INC indirect 1996-06-01
SMH CAPITAL ADVISORS, INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
HARVEY INVESTMENT COMPANY, LLC SHAREHOLDER indirect 1996-06-01
HARVEY INVESTMENT COMPANY, LLC SOLE SHAREHOLDER indirect 1996-06-01
DUNCKER, STREETT & CO., LLC SOLE SHAREHOLDER indirect 1996-06-01
DUNCKER, STREETT & CO., LLC SHAREHOLDER indirect 1996-06-01
MILLER-GREEN FINANCIAL SERVICES LLC SHAREHOLDER indirect 1996-06-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN direct 1987-12-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER indirect 1996-06-01
EDELMAN FINANCIAL SERVICES LLC SHAREHOLDER OF THE EDELMAN FINANCIAL CENTER, INC. indirect 1996-06-01
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN, BOARD OF MANAGERS AND CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN AND CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN & CEO direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MINORITY OWNER indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC CHAIRMAN/MINORITY OWNER EFC LLC indirect 2005-05-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL SERVICES, LLC EXECUTIVE CHAIRMAN direct 2015-12-01
DELTA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
DELTA ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
KANAWHA CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1996-06-01
KANAWHA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
THE RIKOON GROUP, LLC SHAREHOLDER indirect 1996-06-01
THE RIKOON GROUP, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
THE RIKOON GROUP, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
SOF MANAGEMENT, LLC SHAREHOLDER indirect 1996-06-01
SOF MANAGEMENT, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST ARIZONA LLC SOLE SHAREHOLDER indirect 1996-06-01
GFS ADVISORS LLC SHAREHOLDER indirect 1996-06-01
GFS ADVISORS LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
GFS ADVISORS LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
EDELMAN FINANCIAL ADVISORS LLC CHAIRMAN AND CEO direct 2006-12-01
WEALTHTRUST FAIRPORT, LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST FAIRPORT, LLC SOLE SHAREHOLDER indirect 1996-06-01
WEALTHTRUST AXIOM, LLC SHAREHOLDER indirect 1996-06-01
WEALTHTRUST AXIOM, LLC SOLE SHAREHOLDER indirect 1996-06-01
LEONETTI & ASSOCIATES, LLC SHAREHOLDER indirect 1996-06-01
LEONETTI & ASSOCIATES, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
LEONETTI & ASSOCIATES, LLC DIRECTOR AND CHIEF EXECUTIVE OFFICER indirect 2011-05-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
KISSINGER FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-06-01
LEE, THOMAS, HASKELL MANAGING MEMBER LEE EQUITY PARTNERS, LLC 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THOMAS H. LEE ADVISORS II, L.P. INDIVIDUAL GENERAL PARTNER direct 1988-09-01
THL EQUITY ADVISORS LIMITED PARTNERSHIP INDIVIDUAL GENERAL PARTNER direct 1989-08-01
THL EQUITY ADVISORS III LIMITED PARTNERSHIP LIMITED PARTNER direct 1995-02-01
THOMAS H. LEE CAPITAL MANAGEMENT MANAGING MEMBER indirect 1996-12-01
LEE CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 1997-01-01
THL EQUITY ADVISORS IV, LLC GENERAL PARTNER direct 1997-11-01
THL MANAGERS V, LLC PRESIDENT direct 2000-02-01
THOMAS H. LEE CAPITAL MANAGEMENT, LLC PRESIDENT direct 2005-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2006-08-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01
LEE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2014-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MEMBER OF THE INVESTMENT COMMITTEE direct 2001-05-01 2005-07-20
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2012-09-26
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2008-02-01 2012-09-26
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01 2012-09-26
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01 2012-09-26
LEE EQUITY PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2006-08-01 2013-01-02
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01 2013-02-11
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-03-28
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-03-28
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2014-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2014-04-29
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-05-28
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-07-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2008-02-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01 2014-08-28
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01 2014-08-28
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2006-08-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2008-02-01 2014-08-29
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01 2014-08-29
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01 2014-09-04
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2008-02-01 2014-09-10
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01 2014-09-10
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01 2014-09-10
GFS ADVISORS LLC MANAGING MEMBER indirect 2008-02-01 2014-11-25
GFS ADVISORS LLC MANAGER indirect 2012-09-01 2014-11-25
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01 2014-11-25
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2008-02-01 2015-02-04
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01 2015-02-04
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-23
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-23
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2008-02-01 2015-03-31
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01 2015-03-31
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01 2015-03-31
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01 2015-03-31
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2008-02-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01 2015-06-17
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01 2015-06-17
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2008-02-01 2015-07-13
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01 2015-07-13
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01 2015-07-13
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2008-02-01 2015-08-13
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2006-08-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2008-02-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGER indirect 2008-02-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01 2015-10-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01 2015-10-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2015-10-26
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2006-08-01 2016-04-05
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2006-08-01 2016-10-12
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2006-08-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-24
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2006-08-01 2017-03-28
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2006-08-01 2017-03-29
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2006-08-01 2017-05-04
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2006-08-01 2017-06-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER OF LEE EQUITY PARTNERS, LLC indirect 2006-08-01 2017-07-05
LEE EQUITY PARTNERS, LLC MANAGER LEP SUMMER HOLDINGS, LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
AFFILIATED WEALTH PARTNERS HOLDINGS LLC MEMBER-MANAGED GFS HOLDINGS, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MAMAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP II LLC MEMBER-MANAGED AFFILIATED WEALTH PARTNERS HOLDINGS LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP I LP MEMBER-MANAGED AWP II LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER-MANAGED indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER-MANAGED indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER MANAGED indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER-MANAGED indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER - MANAGED indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER-MANAGED indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MEMBER - MANAGED indirect 2015-09-01
GFS ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER-MANAGED indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER MANAGED indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER-MANAGED indirect 2015-09-01
LAFAYETTE ADVISORS LLC MEMBER-MANAGED indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER-MANAGED indirect 2015-09-01
AWP GP LLC GENERAL PARTNER AWP I LP 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
LEP SUMMER HOLDINGS, LLC LIMITED PARTNER AWP I LP 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. LIMITED PARTNER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER LP indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC LIMITED PARTNER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-04-01
THE RIKOON GROUP, LLC LIMITED PARTNER OF LEE SUMMER, LP indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC LIMITED PARTNER indirect 2012-04-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2015-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-04-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2015-09-01
LEE EQUITY PARTNERS, LLC MEMBER AWP GP LLC 09/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-04-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGER indirect 2015-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2012-04-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MANAGER indirect 2012-04-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2012-04-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2012-04-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-04-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2012-04-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-04-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2012-04-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2012-04-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER OF LEP SUMMER HOLDINGS, LLC indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-04-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2012-04-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-04-01
THE EDELMAN FINANCIAL CENTER, INC. MEMBER AWP GP LLC 09/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MEMBER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
SANDERS MORRIS HARRIS LLC MEMBER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
SMH CAPITAL ADVISORS, INC. MEMBER OF LEE SUMMER GP,LLC indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MEMBER indirect 2012-09-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MEMBER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2015-09-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY OF EFS LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER OF EDELMAN FINANCIAL SERVICES, LLC direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY & SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC SOLE MANAGING MEMBER direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC PARENT COMPANY direct 2005-05-01
EDELMAN FINANCIAL SERVICES LLC MEMBER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER OF LEE SUMMER GP, LLC indirect 2012-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
SOF MANAGEMENT, LLC MEMBER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2015-09-01
GFS ADVISORS LLC MEMBER indirect 2012-09-01
GFS ADVISORS LLC MEMBER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2015-09-01
GORMLEY, MARK, KEVIN BOARD OF MANAGERS AWP GP LLC 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
MCMAKEN, BRUCE, ROBERT BOARD OF MANAGERS AWP GP LLC 12/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SMH GROUP INVESTMENT ADVISORS INC. VICE PRESIDENT direct 2005-12-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-12-01
GFS ADVISORS LLC MANAGER indirect 2015-12-01
CUMMER MOYERS CAPITAL ADVISORS INC VICE PRESIDENT direct 2000-10-01 2008-01-29
SMH CAPITAL ADVISORS, INC. EXECUTIVE VICE PRESIDENT direct 2008-03-01 2009-04-08
SMH CAPITAL INC. EXECUTIVE VICE PRESIDENT – CORPORATE direct 2008-03-01 2009-05-26
SMH CAPITAL ADVISORS, INC. DIRECTOR direct 2011-04-01 2012-11-06
SANDERS MORRIS HARRIS INC. EXECUTIVE VICE PRESIDENT / DIRECTOR direct 2008-03-01 2013-01-16
EDELMAN FINANCIAL SERVICES LLC MEMBER, BOARD OF MANAGERS direct 2011-03-01 2013-02-11
GFS ADVISORS LLC MEMBER, BOARD OF MANAGERS direct 2010-12-01 2013-03-26
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2016-06-07
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-12-01 2016-10-12
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-12-01 2016-10-25
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-23
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-24
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-28
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-03-29
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-12-01 2017-04-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-12-01 2017-05-04
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-12-01 2017-06-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-12-01 2017-07-05
RODRIGUEZ, DANIEL, JOSEPH BOARD OF MANAGERS AWP GP LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2016-02-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2016-02-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2016-02-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2016-02-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2016-02-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2016-02-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2016-02-01
GFS ADVISORS LLC MANAGER indirect 2016-02-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2016-02-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2016-02-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2016-02-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2016-02-01
LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. MEMBER LEP SUMMER HOLDINGS, LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
LEP REALIZATION SUMMER LLC LIMITED PARTNER LEE EQUITY PARTNERS REALIZATION FUND SUMMER AIV, L.P. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC LIMITED PARTNER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC LIMITED PARTNER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC LIMITED PARTNER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC LIMITED PARTNER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2016-03-01
THE RIKOON GROUP, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC LIMITED PARTNER indirect 2016-03-01
GFS ADVISORS LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC LIMITED PARTNER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC LIMITED PARTNER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC LIMITED PARTNER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC LIMITED PARTNER indirect 2016-03-01
LEP REALIZATION FEEDER, L.P. MEMBER LEP REALIZATION SUMMER LLC 03/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MEMBER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES LLC MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MEMBER indirect 2016-03-01
GFS ADVISORS LLC MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MEMBER indirect 2016-03-01
LEE EQUITY PARTNERS REALIZATION FUND GP, LLC GENERAL PARTNER LEP REALIZATION FEEDER, L.P. 09/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
SANDERS MORRIS HARRIS LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
SMH CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC GENERAL PARTNER indirect 2015-09-01
DUNCKER, STREETT & CO., LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
THE RIKOON GROUP, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST ARIZONA LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
GFS ADVISORS LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
WEALTHTRUST AXIOM, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC GENERAL PARTNER indirect 2015-09-01
GORMLEY, MARK, KEVIN MANAGING MEMBER LEE EQUITY PARTNERS REALIZATION FUND GP, LLC 03/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC DIRECTOR indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2012-09-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2013-05-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2015-09-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2016-03-01
LEE EQUITY PARTNERS, LLC PARTNER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MANAGER direct 2007-01-01
LEE EQUITY PARTNERS, LLC MANAGING MEMBER direct 2007-01-01
KISSINGER FINANCIAL SERVICES, LLC BOARD OF MANAGERS indirect 2015-09-01
KISSINGER FINANCIAL SERVICES, LLC MANAGER indirect 2016-03-01
KISSINGER FINANCIAL SERVICES, LLC MANAGING MEMBER indirect 2016-03-01
SANDERS MORRIS HARRIS INC. MANAGING MEMBER indirect 2009-03-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2009-03-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. DIRECTOR indirect 2012-09-01
SANDERS MORRIS HARRIS INC. MANAGER indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2012-09-01
SANDERS MORRIS HARRIS INC. BOARD OF MANAGERS indirect 2013-05-01
SANDERS MORRIS HARRIS LLC BOARD OF MANAGERS indirect 2015-09-01
SANDERS MORRIS HARRIS LLC MANAGING MEMBER indirect 2016-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
SMH CAPITAL ADVISORS, INC. MANAGING MEMBER indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2009-03-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. DIRECTOR indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. MANAGER indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2012-09-01
SMH CAPITAL ADVISORS, INC. BOARD OF MANAGERS indirect 2013-05-01
SMH CAPITAL ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
SMH CAPITAL ADVISORS LLC MANAGER indirect 2016-03-01
SMH CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2009-03-01
HARVEY INVESTMENT COMPANY, LLC BOARD OF MANAGERS indirect 2015-09-01
HARVEY INVESTMENT COMPANY, LLC MANAGING MEMBER indirect 2016-03-01
HARVEY INVESTMENT COMPANY, LLC MANAGER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2009-03-01
DUNCKER, STREETT & CO., LLC BOARD OF MANAGERS indirect 2015-09-01
DUNCKER, STREETT & CO., LLC MANAGING MEMBER indirect 2016-03-01
DUNCKER, STREETT & CO., LLC MANAGER indirect 2016-03-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGING MEMBER indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2009-03-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC MANAGER indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC DIRECTOR indirect 2012-09-01
MILLER-GREEN FINANCIAL SERVICES, INC BOARD OF MANAGERS indirect 2013-05-01
MILLER-GREEN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2015-09-01
MILLER-GREEN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2016-03-01
EDELMAN FINANCIAL SERVICES LLC MANAGING MEMBER indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2009-03-01
EDELMAN FINANCIAL SERVICES LLC DIRECTOR indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC MANAGER indirect 2012-09-01
EDELMAN FINANCIAL SERVICES LLC BOARD OF MANAGERS indirect 2013-05-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
DELTA ASSET MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
DELTA ASSET MANAGEMENT, LLC MANAGER indirect 2016-03-01
DELTA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
KANAWHA CAPITAL MANAGEMENT, LLC BOARD OF MANAGERS indirect 2015-09-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2016-03-01
KANAWHA CAPITAL MANAGEMENT, LLC MANAGER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2009-03-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2009-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2012-09-01
THE RIKOON GROUP, LLC DIRECTOR indirect 2012-09-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2013-05-01
THE RIKOON GROUP, LLC BOARD OF MANAGERS indirect 2015-09-01
THE RIKOON GROUP, LLC MEMBER indirect 2015-09-01
THE RIKOON GROUP, LLC MANAGING MEMBER indirect 2016-03-01
THE RIKOON GROUP, LLC MANAGER indirect 2016-03-01
SOF MANAGEMENT, LLC MANAGING MEMBER indirect 2009-03-01
SOF MANAGEMENT, LLC MANAGER indirect 2012-09-01
SOF MANAGEMENT, LLC DIRECTOR indirect 2012-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST ARIZONA LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST ARIZONA LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST ARIZONA LLC MANAGER indirect 2016-03-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2009-03-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2009-03-01
GFS ADVISORS LLC MANAGER indirect 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS direct 2012-09-01
GFS ADVISORS LLC DIRECTOR indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2012-09-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2013-05-01
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2015-09-01
GFS ADVISORS LLC MANAGER indirect 2015-09-01
GFS ADVISORS LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST FAIRPORT, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST FAIRPORT, LLC MANAGER indirect 2016-03-01
WEALTHTRUST FAIRPORT, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2009-03-01
WEALTHTRUST AXIOM, LLC BOARD OF MANAGERS indirect 2015-09-01
WEALTHTRUST AXIOM, LLC MANAGING MEMBER indirect 2016-03-01
WEALTHTRUST AXIOM, LLC MANAGER indirect 2016-03-01
LEONETTI & ASSOCIATES, LLC MANAGING MEMBER indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC BOARD OF MANAGERS indirect 2009-03-01
LEONETTI & ASSOCIATES, LLC MANAGER indirect 2012-09-01
Hsu, Eric BOARD OF MANAGERS AWP GP LLC 12/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
GFS ADVISORS LLC BOARD OF MANAGERS indirect 2017-12-01

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