MERCER GLOBAL ADVISORS INC

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Mercer Global Advisors is based out of Denver. Mercer Global Advisors is a large advisory firm with 10134 clients and discretionary assets under management (AUM) of $10,323,500,129 (Form ADV from 2019-02-01). Their last reported 13F filing for Q3 2020 included $6,647,421,000 in managed 13F securities and a top 10 holdings concentration of 30.68%. Mercer Global Advisors's largest holding is iShares Edge MSCI USA Momentum Factor ETF with shares held of 1,975,348. Whalewisdom has at least 8 13F filings

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09/30/2020

13F Activity

  • Market Value $6.647 Billion
  • Prior Market Value $5.508 Billion
  • New Purchases279 stocks
  • Additional Purchases579 stocks
  • Sold out of53 stocks
  • Reduced holdings in365 stocks
  • Top 10 Holdings % 30.68 %
  • Turnover % [1]:26.86%
  • Turnover Alt % [2]: 9.80 %
  • Time Held Top20:5.25 quarters
  • Time Held Top10:4.60 quarters
  • Time Held All:4.35 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.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-08-14

Performance for Q2 2020: 12.49%
Performance Last 4 Quarters: 15.22%
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

MERCER GLOBAL ADVISORS INC.
1200 17TH STREET 25TH FLOOR
DENVER CO    80202
Country: United States
Business Phone: (800) 258-1559
Fax: (805) 565-1964
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 342
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 12,831,100,000
Total Number of Clients: 10134
Amount of client funds and securities by related persons: 4,933,980
Total Number of clients from related persons: 5
Disclosures:
Data above was derived from SEC filings.

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MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2020-09-25
Name Title Start Date Direct/Indirect % Ownership
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
LELLIS, MARTINE, ELIZABETH CHIEF TALENT AND BUSINESS SOLUTIONS OFFICER 05/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC CHIEF OPERATING OFFICER direct 2011-02-01
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC CHIEF OPERATING OFFICER direct 2012-10-01
SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-04-01
GENSTAR CAPITAL SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01
OG CRIMSON PARENT, INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. GC WAVES HOLDINGS, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. indirect 2019-10-01
OG CRIMSON HOLDINGS, L.P. PARENT COMPANY TO OG CRIMSON PARENT, INC. OG CRIMSON PARENT, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO OG CRIMSON PARENT, INC. indirect 2019-10-01
OAK HILL CAPITAL MANAGEMENT, LLC SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2019-10-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2020-06-05
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
LELLIS, MARTINE, ELIZABETH CHIEF TALENT AND BUSINESS SOLUTIONS OFFICER 05/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC CHIEF OPERATING OFFICER direct 2011-02-01
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC CHIEF OPERATING OFFICER direct 2012-10-01
SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2016-04-01
GENSTAR CAPITAL SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01
OG CRIMSON PARENT, INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. GC WAVES HOLDINGS, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. indirect 2019-10-01
OG CRIMSON HOLDINGS, L.P. PARENT COMPANY TO OG CRIMSON PARENT, INC. OG CRIMSON PARENT, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO OG CRIMSON PARENT, INC. indirect 2019-10-01
OAK HILL CAPITAL MANAGEMENT, LLC SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2019-10-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2019-11-21
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Voermann, Karsten, Ian CHIEF FINANCIAL OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2018-05-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
GENSTAR CAPITAL SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01
OG CRIMSON PARENT, INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. GC WAVES HOLDINGS, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO GC WAVES HOLDINGS, INC. indirect 2019-10-01
OG CRIMSON HOLDINGS, L.P. PARENT COMPANY TO OG CRIMSON PARENT, INC. OG CRIMSON PARENT, INC. 10/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO OG CRIMSON PARENT, INC. indirect 2019-10-01
OAK HILL CAPITAL MANAGEMENT, LLC SHAREHOLDER OG CRIMSON HOLDINGS, L.P. 10/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2019-10-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2019-09-24
Name Title Start Date Direct/Indirect % Ownership
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Voermann, Karsten, Ian CHIEF FINANCIAL OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2018-05-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
ATWATER, DEBORAH, JANE CHIEF ACCOUNTING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 1996-10-01
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. CFO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. CFO AND TREASURER direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF ACCOUNTING OFFICER direct 2008-05-01 2017-02-08
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
GENSTAR CAPITAL SHAREHOLDER GC WAVES HOLDINGS, INC. 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
LOVELL MINNICK EQUITY PARTNERS III SHAREHOLDER GC WAVES HOLDINGS, INC. 08/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2019-06-25
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Voermann, Karsten, Ian CHIEF FINANCIAL OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2018-05-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
ATWATER, DEBORAH, JANE CHIEF ACCOUNTING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 1996-10-01
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. CFO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. CFO AND TREASURER direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF ACCOUNTING OFFICER direct 2008-05-01 2017-02-08
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
GENSTAR CAPITAL SHAREHOLDER GC WAVES HOLDINGS, INC. 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
LOVELL MINNICK EQUITY PARTNERS III SHAREHOLDER GC WAVES HOLDINGS, INC. 08/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Voermann, Karsten, Ian CHIEF FINANCIAL OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2018-05-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
ATWATER, DEBORAH, JANE CHIEF ACCOUNTING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 1996-10-01
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. CFO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. CFO AND TREASURER direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF ACCOUNTING OFFICER direct 2008-05-01 2017-02-08
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
BARTON, DAVID, HURLESS VICE CHAIRMAN 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2000-03-01
MERCER GLOBAL ADVISORS INC. GENERAL COUNSEL direct 2000-03-01 2003-03-17
MERCER GLOBAL ADVISORS INC. VICE PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-04-22
MERCER GLOBAL ADVISORS INC. PRESIDENT & GENERAL COUNSEL direct 2000-03-01 2005-09-13
MERCER GLOBAL ADVISORS INC. DIRECTOR & CHIEF EXECUTIVE OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. DIRECTOR & CEO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. DIRECTOR AND CEO direct 2008-05-01 2014-08-14
MERCER GLOBAL ADVISORS INC. MANAGER indirect 2008-05-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR, PRESIDENT AND CEO direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2008-05-01 2017-02-08
GENSTAR CAPITAL SHAREHOLDER GC WAVES HOLDINGS, INC. 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
LOVELL MINNICK EQUITY PARTNERS III SHAREHOLDER GC WAVES HOLDINGS, INC. 08/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2018-12-20
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN CHIEF OPERATING OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
Voermann, Karsten, Ian CHIEF FINANCIAL OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2018-05-01
Lee, Karen CHIEF MARKETING OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF MARKETING OFFICER direct 2018-02-01
ATWATER, DEBORAH, JANE CHIEF ACCOUNTING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 1996-10-01
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER direct 2008-05-01 2010-07-22
MERCER GLOBAL ADVISORS INC. CFO direct 2008-05-01 2011-03-31
MERCER GLOBAL ADVISORS INC. CFO AND TREASURER direct 2008-05-01 2015-06-11
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2008-05-01 2015-11-11
MERCER GLOBAL ADVISORS INC. CHIEF ACCOUNTING OFFICER direct 2008-05-01 2017-02-08
CALCAGNI, DONALD, ANDREW CHIEF INVESTMENT OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF INVESTMENT OFFICER direct 2015-07-01
GENSTAR CAPITAL SHAREHOLDER GC WAVES HOLDINGS, INC. 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
LOVELL MINNICK EQUITY PARTNERS III SHAREHOLDER GC WAVES HOLDINGS, INC. 08/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01

MERCER GLOBAL ADVISORS INC.

ownership team - last updated 2018-06-12
Name Title Start Date Direct/Indirect % Ownership
MERCER ADVISORS INC. PARENT COMPANY 05/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. PARENT COMPANY direct 2017-08-01
MERCER GLOBAL ADVISORS INC. PARENT COMPANY direct 2008-05-01
MERCER GLOBAL ADVISORS INC. PARENT direct 2008-05-01
PIERSON, LOREN COO 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PRESIDENT direct 2015-07-01
MAXWELL, JOHN, DOUGLAS CHIEF FINANCIAL OFFICER, SECRETARY AND TREASURER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-12-01
MERCER GLOBAL ADVISORS INC. CHIEF FINANCIAL OFFICER, SECRETARY AND TREASURER direct 2015-12-01
WELLING, CHARLES, DAVID CHIEF EXECUTIVE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. CHIEF EXECUTIVE OFFICER direct 2017-06-01
Nelson II, William, Alan CHIEF COMPLIANCE OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTH DESIGN SERVICES INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
MERCER GLOBAL ADVISORS INC. CHIEF COMPLIANCE OFFICER direct 2017-08-01
GENSTAR CAPITAL SHAREHOLDER GC WAVES HOLDINGS, INC. 05/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2015-05-01
LOVELL MINNICK EQUITY PARTNERS III SHAREHOLDER GC WAVES HOLDINGS, INC. 08/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
GC WAVES HOLDINGS, INC. PARENT COMPANY TO MERCER ADVISORS INC. MERCER ADVISORS INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MERCER GLOBAL ADVISORS INC. PARENT COMPANY TO MERCER ADVISORS INC. indirect 2015-03-01

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