ALLWORTH FINANCIAL LP

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Also known as:

  • HANSON MCCLAIN INC

Allworth Financial is based out of Sacramento. Allworth Financial is a large advisory firm with 6549 clients and discretionary assets under management (AUM) of $3,324,287,304 (Form ADV from 2019-04-30). Their last reported 13F filing for Q3 2019 included $2,620,433,000 in managed 13F securities and a top 10 holdings concentration of 73.47%. Allworth Financial's largest holding is SPDR Portfolio Total Stock Market ETF with shares held of 15,525,403. Whalewisdom has at least 36 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.62 Billion
  • Prior Market Value $2.563 Billion
  • New Purchases98 stocks
  • Additional Purchases244 stocks
  • Sold out of92 stocks
  • Reduced holdings in133 stocks
  • Top 10 Holdings % 73.47 %
  • Turnover % [1]:18.66%
  • Turnover Alt % [2]: 5.03 %
  • Time Held Top20:7.60 quarters
  • Time Held Top10:7.80 quarters
  • Time Held All:10.91 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.28%
Performance Last 4 Quarters: 1.54%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR/A (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR/A (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ALLWORTH FINANCIAL, L.P.
8775 FOLSOM BLVD. SUITE 100
SACRAMENTO CA    95826
Country: United States

Business Phone: 916-482-2196
Fax: 916-483-9661
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 123
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 6549
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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ALLWORTH FINANCIAL, L.P.

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
HANSON, SCOTT, THOMAS CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
BURNETT, STEVEN, THOMAS PRESIDENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC PRESIDENT direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN, INC. PRESIDENT direct 2000-08-01
HANSON MCCLAIN, INC. PRESIDENT/DIRECTOR OF SUPERVISION direct 2000-08-01
HANSON MCCLAIN, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & PRESIDENT direct 2011-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR direct 2011-05-01
FRISE, JULIA, CAROL SECRETARY/DIRECTOR OF CORPORATE OPERATIONS 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 1998-09-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF OPERATIONS direct 1998-09-01
HANSON MCCLAIN, L.P. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. SECRETARY direct 2011-05-01
HANSON MCCLAIN GROUP, L.P. PARTNER 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, INC. DIRECT OWNER direct 2008-02-01
HANSON MCCLAIN, INC. PARTNER direct 2008-02-01
HANSON MCCLAIN, L.P. PARTNER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECT OWNER direct 2011-05-01
SCHAUER, DAVID, WILLIAM CHIEF INVESTMENT OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. CHIEF INVESTMENT OFFICER direct 2010-12-01
HANSON MCCLAIN, L.P. CHIEF INVESTMENT OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF INVESTMENT OFFICER direct 2011-06-01
GAMBLE, COREY, C CHIEF COMPLIANCE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN, INC. DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN, INC. CHIEF COMPLIANCE OFFICER direct 2013-11-01
HANSON MCCLAIN, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. COMPLIANCE OFFICER direct 2012-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2012-07-01
ENGELKEN, PETER, JOHN CHIEF OPERATING OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN STRATEGIC ADVISORS, INC. PRESIDENT direct 2013-06-01
HANSON MCCLAIN, INC. CHIEF OPERATING OFFICER direct 2014-01-01
HANSON MCCLAIN, L.P. CHIEF OPERATING OFFICER direct 2017-07-01
ODDY, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, L.P. CHIEF FINANCIAL OFFICER direct 2018-04-01
HMGI INTERMEDIATE, L.P. OWNER HANSON MCCLAIN GROUP, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMGI PARENT, L.P. OWNER HMGI INTERMEDIATE, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMG HOLDCO, INC. OWNER HMGI PARENT, L.P. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HANSON, SCOTT, THOMAS OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
PARTHENON INVESTORS V HM BLOCKER, INC. OWNER PARTHENON INVESTORS V HM-AIV, L.P. 09/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
MCCLAIN, PATRICK, CARL OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
PARTHENON V HM HOLDINGS, L.P. OWNER HMGI PARENT, L.P. 09/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM-AIV, L.P. OWNER PARTHENON V HM HOLDINGS, L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM HOLDCO AIV, L.P. OWNER PARTHENON INVESTORS V HM BLOCKER, INC. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01

HANSON MCCLAIN, L.P.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
HANSON, SCOTT, THOMAS CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
BURNETT, STEVEN, THOMAS PRESIDENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC PRESIDENT direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN, INC. PRESIDENT direct 2000-08-01
HANSON MCCLAIN, INC. PRESIDENT/DIRECTOR OF SUPERVISION direct 2000-08-01
HANSON MCCLAIN, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & PRESIDENT direct 2011-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR direct 2011-05-01
FRISE, JULIA, CAROL SECRETARY/DIRECTOR OF CORPORATE OPERATIONS 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 1998-09-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF OPERATIONS direct 1998-09-01
HANSON MCCLAIN, L.P. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. SECRETARY direct 2011-05-01
HANSON MCCLAIN GROUP, L.P. PARTNER 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, INC. DIRECT OWNER direct 2008-02-01
HANSON MCCLAIN, INC. PARTNER direct 2008-02-01
HANSON MCCLAIN, L.P. PARTNER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECT OWNER direct 2011-05-01
SCHAUER, DAVID, WILLIAM CHIEF INVESTMENT OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. CHIEF INVESTMENT OFFICER direct 2010-12-01
HANSON MCCLAIN, L.P. CHIEF INVESTMENT OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF INVESTMENT OFFICER direct 2011-06-01
GAMBLE, COREY, C CHIEF COMPLIANCE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN, INC. DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN, INC. CHIEF COMPLIANCE OFFICER direct 2013-11-01
HANSON MCCLAIN, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. COMPLIANCE OFFICER direct 2012-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2012-07-01
ENGELKEN, PETER, JOHN CHIEF OPERATING OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN STRATEGIC ADVISORS, INC. PRESIDENT direct 2013-06-01
HANSON MCCLAIN, INC. CHIEF OPERATING OFFICER direct 2014-01-01
HANSON MCCLAIN, L.P. CHIEF OPERATING OFFICER direct 2017-07-01
ODDY, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, L.P. CHIEF FINANCIAL OFFICER direct 2018-04-01
HMGI INTERMEDIATE, L.P. OWNER HANSON MCCLAIN GROUP, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMGI PARENT, L.P. OWNER HMGI INTERMEDIATE, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMG HOLDCO, INC. OWNER HMGI PARENT, L.P. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HANSON, SCOTT, THOMAS OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
PARTHENON V HM HOLDINGS, L.P. OWNER HMGI PARENT, L.P. 09/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM-AIV, L.P. OWNER PARTHENON V HM HOLDINGS, L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM BLOCKER, INC. OWNER PARTHENON INVESTORS V HM-AIV, L.P. 09/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM HOLDCO AIV, L.P. OWNER PARTHENON INVESTORS V HM BLOCKER, INC. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01

HANSON MCCLAIN, L.P.

ownership team - last updated 2018-11-30
Name Title Start Date Direct/Indirect % Ownership
HANSON, SCOTT, THOMAS CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
BURNETT, STEVEN, THOMAS PRESIDENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC PRESIDENT direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN, INC. PRESIDENT direct 2000-08-01
HANSON MCCLAIN, INC. PRESIDENT/DIRECTOR OF SUPERVISION direct 2000-08-01
HANSON MCCLAIN, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & PRESIDENT direct 2011-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR direct 2011-05-01
FRISE, JULIA, CAROL SECRETARY/DIRECTOR OF CORPORATE OPERATIONS 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 1998-09-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF OPERATIONS direct 1998-09-01
HANSON MCCLAIN, L.P. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. SECRETARY direct 2011-05-01
HANSON MCCLAIN GROUP, L.P. PARTNER 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, INC. DIRECT OWNER direct 2008-02-01
HANSON MCCLAIN, INC. PARTNER direct 2008-02-01
HANSON MCCLAIN, L.P. PARTNER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECT OWNER direct 2011-05-01
SCHAUER, DAVID, WILLIAM CHIEF INVESTMENT OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. CHIEF INVESTMENT OFFICER direct 2010-12-01
HANSON MCCLAIN, L.P. CHIEF INVESTMENT OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF INVESTMENT OFFICER direct 2011-06-01
GAMBLE, COREY, C CHIEF COMPLIANCE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN, INC. DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN, INC. CHIEF COMPLIANCE OFFICER direct 2013-11-01
HANSON MCCLAIN, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. COMPLIANCE OFFICER direct 2012-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2012-07-01
ENGELKEN, PETER, JOHN CHIEF OPERATING OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN STRATEGIC ADVISORS, INC. PRESIDENT direct 2013-06-01
HANSON MCCLAIN, INC. CHIEF OPERATING OFFICER direct 2014-01-01
HANSON MCCLAIN, L.P. CHIEF OPERATING OFFICER direct 2017-07-01
ODDY, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, L.P. CHIEF FINANCIAL OFFICER direct 2018-04-01
HMGI INTERMEDIATE, L.P. OWNER HANSON MCCLAIN GROUP, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMGI PARENT, L.P. OWNER HMGI INTERMEDIATE, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMG HOLDCO, INC. OWNER HMGI PARENT, L.P. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HANSON, SCOTT, THOMAS OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
PARTHENON V HM HOLDINGS, L.P. OWNER HMGI PARENT, L.P. 09/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM-AIV, L.P. OWNER PARTHENON V HM HOLDINGS, L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM BLOCKER, INC. OWNER PARTHENON INVESTORS V HM-AIV, L.P. 09/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM HOLDCO AIV, L.P. OWNER PARTHENON INVESTORS V HM BLOCKER, INC. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01

HANSON MCCLAIN, L.P.

ownership team - last updated 2018-05-30
Name Title Start Date Direct/Indirect % Ownership
HANSON, SCOTT, THOMAS CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL CO-CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
BURNETT, STEVEN, THOMAS PRESIDENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC PRESIDENT direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2008-01-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN, INC. PRESIDENT direct 2000-08-01
HANSON MCCLAIN, INC. PRESIDENT/DIRECTOR OF SUPERVISION direct 2000-08-01
HANSON MCCLAIN, L.P. PRESIDENT direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & PRESIDENT direct 2011-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR direct 2011-05-01
FRISE, JULIA, CAROL SECRETARY/DIRECTOR OF CORPORATE OPERATIONS 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 1998-09-01
HANSON MCCLAIN, INC. SECRETARY/DIRECTOR OF OPERATIONS direct 1998-09-01
HANSON MCCLAIN, L.P. SECRETARY/DIRECTOR OF CORPORATE OPERATIONS direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. SECRETARY direct 2011-05-01
HANSON MCCLAIN GROUP, L.P. PARTNER 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, INC. DIRECT OWNER direct 2008-02-01
HANSON MCCLAIN, INC. PARTNER direct 2008-02-01
HANSON MCCLAIN, L.P. PARTNER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECT OWNER direct 2011-05-01
SCHAUER, DAVID, WILLIAM CHIEF INVESTMENT OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CLASS B SHAREHOLDER indirect 2008-02-01
HANSON MCCLAIN, INC. CHIEF INVESTMENT OFFICER direct 2010-12-01
HANSON MCCLAIN, L.P. CHIEF INVESTMENT OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF INVESTMENT OFFICER direct 2011-06-01
GAMBLE, COREY, C CHIEF COMPLIANCE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN, INC. DIRECTOR OF SUPERVISION direct 2012-05-01
HANSON MCCLAIN, INC. CHIEF COMPLIANCE OFFICER direct 2013-11-01
HANSON MCCLAIN, L.P. CHIEF COMPLIANCE OFFICER direct 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. COMPLIANCE OFFICER direct 2012-05-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2012-07-01
ENGELKEN, PETER, JOHN CHIEF OPERATING OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN STRATEGIC ADVISORS, INC. PRESIDENT direct 2013-06-01
HANSON MCCLAIN, INC. CHIEF OPERATING OFFICER direct 2014-01-01
HANSON MCCLAIN, L.P. CHIEF OPERATING OFFICER direct 2017-07-01
ODDY, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN, L.P. CHIEF FINANCIAL OFFICER direct 2018-04-01
HMGI INTERMEDIATE, L.P. OWNER HANSON MCCLAIN GROUP, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMGI PARENT, L.P. OWNER HMGI INTERMEDIATE, L.P. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HMG HOLDCO, INC. OWNER HMGI PARENT, L.P. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN, INC. OWNER indirect 2017-07-01
HANSON, SCOTT, THOMAS OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF FINANCIAL OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
MCCLAIN, PATRICK, CARL OWNER HMG HOLDCO, INC. 07/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, LLC CO-CEO direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC MEMBER direct 1998-07-01
HANSON MCCLAIN RETIREMENT NETWORK, LLC OWNER indirect 2008-02-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN RETIREMENT NETWORK, L.P. CO-CEO direct 2017-07-01
HANSON MCCLAIN, INC. CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. CO-CHIEF EXECUTIVE OFFICER direct 1996-01-01
HANSON MCCLAIN, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN, L.P. CO-CHIEF EXECUTIVE OFFICER direct 2017-07-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-07-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. OWNER indirect 2008-02-01
HANSON MCCLAIN STRATEGIC ADVISORS, INC. DIRECTOR & CO-CHIEF EXECUTIVE OFFICER direct 2011-05-01
PARTHENON V HM HOLDINGS, L.P. OWNER HMGI PARENT, L.P. 09/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM-AIV, L.P. OWNER PARTHENON V HM HOLDINGS, L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM BLOCKER, INC. OWNER PARTHENON INVESTORS V HM-AIV, L.P. 09/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01
PARTHENON INVESTORS V HM HOLDCO AIV, L.P. OWNER PARTHENON INVESTORS V HM BLOCKER, INC. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HANSON MCCLAIN RETIREMENT NETWORK, L.P. OWNER indirect 2017-09-01
HANSON MCCLAIN, L.P. OWNER indirect 2017-09-01

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