HIGHTOWER ADVISORS, LLC

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Hightower Advisors is based out of Chicago. Hightower Advisors is a hedge fund with 103695 clients and discretionary assets under management (AUM) of $57,000,000,000 (Form ADV from 2020-05-03). Their last reported 13F filing for Q1 2020 included $15,425,566,000 in managed 13F securities and a top 10 holdings concentration of 20.74%. Hightower Advisors's largest holding is Berkshire Hathaway Inc Class A with shares held of 2,247. Whalewisdom has at least 49 13F filings, and 1 13G filings

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $15.426 Billion
  • Prior Market Value $16.921 Billion
  • New Purchases383 stocks
  • Additional Purchases800 stocks
  • Sold out of427 stocks
  • Reduced holdings in959 stocks
  • Top 10 Holdings % 20.74 %
  • Turnover % [1]:35.89%
  • Turnover Alt % [2]: 24.18 %
  • Time Held Top20:12.95 quarters
  • Time Held Top10:7.60 quarters
  • Time Held All:15.60 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 2020-05-15

Performance for Q1 2020: -14.25%
Performance Last 4 Quarters: 0.44%
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
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
ACR Alpine Capital Research, LLC
ALLIANCEBERNSTEIN L.P.
Allianz Global Investors U.S. LLC
ALTA CAPITAL MANAGEMENT LLC/
AMI ASSET MANAGEMENT CORP
ANCHOR CAPITAL ADVISORS LLC
Aperio Group, LLC
Aristotle Capital Management, LLC
Ashfield Capital Partners, LLC
ATALANTA SOSNOFF CAPITAL, LLC
ATLANTA CAPITAL MANAGEMENT CO L L C
BAHL GAYNOR INC
BlackRock Investment Management, LLC
Boston Partners
BRANDES INVESTMENT PARTNERS, LP
Brookmont Capital Management
BROWN ADVISORY INC
CAMBIAR INVESTORS LLC
CAMPBELL NEWMAN ASSET MANAGEMENT INC
Capital Innovations LLC
CLEARBRIDGE, LLC
CONGRESS ASSET MANAGEMENT CO /MA
Dana Investment Advisors, Inc.
DAVIS SELECTED ADVISERS
DSM CAPITAL PARTNERS LLC
EAGLE ASSET MANAGEMENT INC
EARNEST PARTNERS LLC
EATON VANCE MANAGEMENT
FAYEZ SAROFIM CO
FEDERATED HERMES, INC.
FRANKLIN RESOURCES INC
FRED ALGER MANAGEMENT, LLC
GLENMEDE TRUST CO NA
Glovista Investments LLC
GW Investment Management, LLC
HARDING LOEVNER LP
HARRIS ASSOCIATES L P
HGK ASSET MANAGEMENT INC
Horizon Investment Services, LLC
HORIZON KINETICS ASSET MANAGEMENT LLC
Invesco Ltd.
ISTHMUS PARTNERS, LLC
JFB Holdings Corp
JPMORGAN CHASE CO
Karpus Management, Inc.
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC
KENNEDY CAPITAL MANAGEMENT, INC.
Laffer Investments
LATEEF INVESTMENT MANAGEMENT, L.P.
LAZARD ASSET MANAGEMENT LLC
LONDON CO OF VIRGINIA
LOOMIS SAYLES CO L P
LORD, ABBETT CO. LLC
M.D. SASS INVESTORS SERVICES, INC.
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
MADISON INVESTMENT HOLDINGS INC
MASSACHUSETTS FINANCIAL SERVICES CO /MA/
MILLER HOWARD INVESTMENTS INC /NY
MONTAG CALDWELL, LLC
NATIXIS ADVISORS, L.P.
NEUBERGER BERMAN LLC
NEWGATE CAPITAL MANAGEMENT LLC
NUANCE INVESTMENTS, LLC
Nuveen Asset Management, LLC
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
OAK RIDGE INVESTMENTS LLC
PACIFIC INVESTMENT MANAGEMENT CO LLC
PARAMETRIC PORTFOLIO ASSOCIATES LLC
POLEN CAPITAL MANAGEMENT LLC
PRINCIPAL GLOBAL INVESTORS
PZENA INVESTMENT MANAGEMENT LLC
REAVES W H CO INC
REINHART PARTNERS, INC.
RENAISSANCE GROUP LLC
Richard Bernstein Advisors LLC
RIVERBRIDGE PARTNERS LLC
SANTA BARBARA ASSET MANAGEMENT, LLC
SCHAFER CULLEN CAPITAL MANAGEMENT INC
Select Equity Group, L.P.
SHELTON CAPITAL MANAGEMENT
SOUTHERNSUN ASSET MANAGEMENT, LLC
STRATEGY ASSET MANAGERS LLC
TCW INVESTMENT MANAGEMENT Co LLC
THOMAS WHITE INTERNATIONAL LTD
THOMPSON SIEGEL WALMSLEY LLC
THORNBURG INVESTMENT MANAGEMENT INC
TODD ASSET MANAGEMENT LLC
TURNER INVESTMENTS LLC
VANGUARD GROUP INC
VICTORY CAPITAL MANAGEMENT INC
VOYA INVESTMENT MANAGEMENT LLC
Wakefield Asset Management LLLP
WCM INVESTMENT MANAGEMENT, LLC
WEDGEWOOD PARTNERS INC
Wellesley Asset Management
WestEnd Advisors, LLC
Winslow Capital Management, LLC

View Last Form Adv Compilation Report on Record

HIGHTOWER ADVISORS, LLC
Classified as Hedge Fund
200 W. MADISON ST. SUITE 2500
CHICAGO IL    60606
Country: United States

Business Phone: 312-962-3800
Fax: 312-276-8341
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 566
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7
Amount of client funds and securities:
Total Number of Clients: 103695
Amount of client funds and securities by related persons: 884,896,000
Total Number of clients from related persons: 134
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HIGHTOWER ADVISORS, LLC

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-11-22
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WASCHER, PAUL, HEINZ ROBERT DIRECTOR OF COMPLIANCE 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR OF COMPLIANCE direct 2019-04-01
THETFORD, MICHELLE, MARIE CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
MUTCH, NICOLAS EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2018-12-13
Name Title Start Date Direct/Indirect % Ownership
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
Mutch, Nicolas EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
BERG, DANIEL, JEREMY DIRECTOR, FINANCE 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
WEISSBLUTH, ELLIOT, SOL CEO OF HOLDING COMPANY HIGHTOWER HOLDING, LLC 05/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
U.S. FIDUCIARY ADVISORS, LLC PRESIDENT direct 2004-10-01
USF ALTERNATIVE SERVICES, LLC PRESIDENT direct 2005-05-01
HIGHTOWER ADVISORS, LLC CEO OF HOLDING COMPANY indirect 2008-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISCHER ENTERPRISE FUND, L.P. United States 805-4918772986 Hedge Fund 23,217,488 1,000,000 Fund of Funds
FGLO CAPITAL, L.P. United States 805-3275730339 Hedge Fund 17,046,239 500,000 Fund of Funds
FISCHER GLOBAL OPPORTUNITY FUND, L.P. United States 805-5703170517 Hedge Fund 23,352,379 1,000,000 Fund of Funds

HIGHTOWER ADVISORS, LLC

ownership team - last updated 2018-06-26
Name Title Start Date Direct/Indirect % Ownership
HIGHTOWER HOLDING, LLC HOLDING COMPANY 04/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
WOODS, TIMOTHY, BERNARD COUNSEL 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
HIGHTOWER ADVISORS, LLC COUNSEL direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
MURRAY, LANCE, DEVIN CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DEPUTY COMPLIANCE OFFICER direct 2015-05-01
HIGHTOWER ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-07-01
BESSO, DOUGLAS, JOSEPH CTO 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC COO/CTO direct 2015-01-01
HIGHTOWER ADVISORS, LLC CTO direct 2015-01-01
COVIELLO, BARRY, ANTHONY NATIONAL DIRECTOR OF FIELD SUPERVISION 07/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC NATIONAL DIRECTOR OF FIELD SUPERVISION direct 2013-07-01
FISCHER, GEORGE, STEPHEN MANAGING DIRECTOR, OPERATIONS & SERVICE 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC MANAGING DIRECTOR, OPERATIONS & SERVICE direct 2017-08-01
Mutch, Nicolas EXECUTIVE DIRECTOR, OPERATIONS & SERVICE 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC EXECUTIVE DIRECTOR, OPERATIONS & SERVICE direct 2017-09-01
WEISSBLUTH, ELLIOT, SOL CEO OF HOLDING COMPANY HIGHTOWER HOLDING, LLC 05/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
U.S. FIDUCIARY ADVISORS, LLC PRESIDENT direct 2004-10-01
USF ALTERNATIVE SERVICES, LLC PRESIDENT direct 2005-05-01
HIGHTOWER ADVISORS, LLC CEO OF HOLDING COMPANY indirect 2008-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

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