MERISTEM FAMILY WEALTH, LLC

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Meristem Family Wealth is based out of Minnetonka. Meristem Family Wealth is a large advisory firm with 578 clients and discretionary assets under management (AUM) of $1,508,315,042 (Form ADV from 2018-06-01). Their last reported 13F filing for Q3 2019 included $370,310,000 in managed 13F securities and a top 10 holdings concentration of 56.14%. Meristem Family Wealth's largest holding is iShares S&P 100 ETF with shares held of 689,631. Meristem Family Wealth has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 39 13F filings

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Equal-WT
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67

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Manager Weighted
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $370.31 Million
  • Prior Market Value $327.846 Million
  • New Purchases44 stocks
  • Additional Purchases60 stocks
  • Sold out of19 stocks
  • Reduced holdings in49 stocks
  • Top 10 Holdings % 56.14 %
  • Turnover % [1]:31.50%
  • Turnover Alt % [2]: 15.90 %
  • Time Held Top20:16.40 quarters
  • Time Held Top10:14.90 quarters
  • Time Held All:11.56 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.69%
Performance Last 4 Quarters: 8.16%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 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 (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (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/A (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)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

MERISTEM FAMILY WEALTH
Classified as Hedge Fund
701 CARLSON PARKWAY SUITE 1400
MINNETONKA MN    55305
Country: United States

Business Phone: 952-835-2577
Fax: 952-835-8283
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 39
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 703,495,000
Total Number of Clients: 578
Amount of client funds and securities by related persons: 1,062,000
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

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MERISTEM FAMILY WEALTH, LLC

ownership team - last updated 2019-07-24
Name Title Start Date Direct/Indirect % Ownership
MAXWELL, CHARLES, JOSEPH CEO; MEMBER, CLASS B 06/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH CEO; MEMBER, CLASS B direct 2003-06-01
MERISTEM, LLP GENERAL PARTNER direct 2003-06-01
MERISTEM, LLP CEO, PARTNER direct 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER CLASS B indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CHIEF EXECUTIVE OFFICER direct 2008-01-01
ADVISORS FINANCIAL SERVICES, LLC CHIEF MANAGER direct 2000-05-01
REGAN, PATRICK, RYAN CIO; MEMBER, CLASS B 01/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP CIO, GENERAL PARTNER direct 2006-09-01
MERISTEM, LLP CIO direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2008-01-01
MERISTEM LLC CIO; MEMBER, CLASS B direct 2008-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2008-01-01
CROW, JON, KENNETH COO & TREASURER, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH, LLC COO & TREASURER, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO SECRETARY direct 2000-12-01 2003-12-19
SARGENT MANAGEMENT CO VICE PRES/SECRETARY direct 2000-12-01 2004-12-17
SARGENT MANAGEMENT CO VICE PRES/SEC./CHIEF COMPLIANCE OFFICER direct 2000-12-01 2005-01-27
SARGENT MANAGEMENT CO SECRETARY direct 2006-05-01 2007-11-28
SARGENT MANAGEMENT CO PRESIDENT direct 2008-01-01 2008-01-28
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01 2013-01-04
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01 2013-01-04
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01 2016-04-25
MERISTEM, LLP PARTNER direct 2007-01-01 2016-11-02
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01 2016-11-10
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01 2017-05-08
ROBBINS, JAMES, MICHAEL CCO, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01
MERISTEM, LLP PARTNER direct 2007-01-01
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01
MERISTEM FAMILY WEALTH, LLC CCO, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO CCO, SECRETARY & TREASURER direct 2017-05-01
PC 3 VENTURE LLC MEMBER, CLASS A 11/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS A direct 2016-11-01
SARGENT MANAGEMENT CO MEMBER CLASS A indirect 2016-11-01
SCHULZE, RICHARD, REV TR MEMBER, CLASS 2 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 2 indirect 2016-11-01
BERGMAN, KEVIN MEMBER, CLASS 3 PC 3 VENTURE LLC 11/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 3 indirect 2016-11-01
BENSON, MICHAEL, DAVID MEMBER, CLASS 1 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM LLC MEMBER, CLASS 1 indirect 2016-11-01
FAIRWAY WEALTH MANAGEMENT LLC MEMBER direct 2002-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ENERGY OPPORTUNITIES FUND United States 805-5056309527 Private Equity Fund 5,900,000 1 Fund of Funds
FEEDER FUND TAO LLC United States 805-4838185359 Private Equity Fund 16,773,000 1 Fund of Funds
WMC OPPORTUNITIES FUND United States 805-3140208703 Hedge Fund 18,038,000 1 Fund of Funds
OPPORTUNITY PARTNERS CRESTLINE FUND, LLC United States 805-3800248969 Private Equity Fund 10,159,000 1 Fund of Funds
OPPORTUNITY PARTNERS ASIA FUND, LLC United States 805-4364917423 Other Private Fund EQUITY - CREDIT 4,082,000 1 Fund of Funds
BLACKROCK MASTER HEDGE, L.P. United States 805-3492083269 Hedge Fund 93,480,000 1 Fund of Funds
WMC INTERNATIONAL United States 805-5499296027 Other Private Fund LONG EQUITY 12,467,000 1 Fund of Funds
CREDIT OPPORTUNITIES FUND United States 805-9236132492 Private Equity Fund 6,568,000 1 Fund of Funds
MERISTEM GLOBAL EQUITY United States 805-9317841485 Other Private Fund LONG EQUITY 105,554,000 1 Fund of Funds
MERISTEM HIGH YIELD MUNICIPAL FUND, LLC United States 805-3852292150 Other Private Fund BOND FUND 61,028,000 1 Fund of Funds

MERISTEM FAMILY WEALTH, LLC

ownership team - last updated 2019-05-21
Name Title Start Date Direct/Indirect % Ownership
MAXWELL, CHARLES, JOSEPH CEO; MEMBER, CLASS B 06/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH CEO; MEMBER, CLASS B direct 2003-06-01
MERISTEM, LLP GENERAL PARTNER direct 2003-06-01
MERISTEM, LLP CEO, PARTNER direct 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER CLASS B indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CHIEF EXECUTIVE OFFICER direct 2008-01-01
ADVISORS FINANCIAL SERVICES, LLC CHIEF MANAGER direct 2000-05-01
REGAN, PATRICK, RYAN CIO; MEMBER, CLASS B 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP CIO, GENERAL PARTNER direct 2006-09-01
MERISTEM, LLP CIO direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2008-01-01
MERISTEM LLC CIO; MEMBER, CLASS B direct 2008-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2008-01-01
CROW, JON, KENNETH COO & TREASURER, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH, LLC COO & TREASURER, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO SECRETARY direct 2000-12-01 2003-12-19
SARGENT MANAGEMENT CO VICE PRES/SECRETARY direct 2000-12-01 2004-12-17
SARGENT MANAGEMENT CO VICE PRES/SEC./CHIEF COMPLIANCE OFFICER direct 2000-12-01 2005-01-27
SARGENT MANAGEMENT CO SECRETARY direct 2006-05-01 2007-11-28
SARGENT MANAGEMENT CO PRESIDENT direct 2008-01-01 2008-01-28
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01 2013-01-04
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01 2013-01-04
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01 2016-04-25
MERISTEM, LLP PARTNER direct 2007-01-01 2016-11-02
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01 2016-11-10
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01 2017-05-08
ROBBINS, JAMES, MICHAEL CCO, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01
MERISTEM, LLP PARTNER direct 2007-01-01
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01
MERISTEM FAMILY WEALTH, LLC CCO, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO CCO, SECRETARY & TREASURER direct 2017-05-01
PC 3 VENTURE LLC MEMBER, CLASS A 11/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS A direct 2016-11-01
SARGENT MANAGEMENT CO MEMBER CLASS A indirect 2016-11-01
SCHULZE, RICHARD, REV TR MEMBER, CLASS 2 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 2 indirect 2016-11-01
BERGMAN, KEVIN MEMBER, CLASS 3 PC 3 VENTURE LLC 11/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 3 indirect 2016-11-01
BENSON, MICHAEL, DAVID MEMBER, CLASS 1 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM LLC MEMBER, CLASS 1 indirect 2016-11-01
FAIRWAY WEALTH MANAGEMENT LLC MEMBER direct 2002-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WMC INTERNATIONAL United States 805-5499296027 Other Private Fund LONG EQUITY 12,467,000 1 Fund of Funds
CREDIT OPPORTUNITIES FUND United States 805-9236132492 Private Equity Fund 6,568,000 1 Fund of Funds
MERISTEM GLOBAL EQUITY United States 805-9317841485 Other Private Fund LONG EQUITY 105,554,000 1 Fund of Funds
MERISTEM HIGH YIELD MUNICIPAL FUND, LLC United States 805-3852292150 Other Private Fund BOND FUND 61,028,000 1 Fund of Funds
ENERGY OPPORTUNITIES FUND United States 805-5056309527 Private Equity Fund 5,900,000 1 Fund of Funds
FEEDER FUND TAO LLC United States 805-4838185359 Private Equity Fund 16,773,000 1 Fund of Funds
WMC OPPORTUNITIES FUND United States 805-3140208703 Hedge Fund 18,038,000 1 Fund of Funds
OPPORTUNITY PARTNERS CRESTLINE FUND, LLC United States 805-3800248969 Private Equity Fund 10,159,000 1 Fund of Funds
OPPORTUNITY PARTNERS ASIA FUND, LLC United States 805-4364917423 Other Private Fund EQUITY - CREDIT 4,082,000 1 Fund of Funds
BLACKROCK MASTER HEDGE, L.P. United States 805-3492083269 Hedge Fund 93,480,000 1 Fund of Funds

MERISTEM FAMILY WEALTH, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
MAXWELL, CHARLES, JOSEPH CEO; MEMBER, CLASS B 06/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH CEO; MEMBER, CLASS B direct 2003-06-01
MERISTEM, LLP GENERAL PARTNER direct 2003-06-01
MERISTEM, LLP CEO, PARTNER direct 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER CLASS B indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CHIEF EXECUTIVE OFFICER direct 2008-01-01
ADVISORS FINANCIAL SERVICES, LLC CHIEF MANAGER direct 2000-05-01
REGAN, PATRICK, RYAN CIO; MEMBER, CLASS B 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP CIO, GENERAL PARTNER direct 2006-09-01
MERISTEM, LLP CIO direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2008-01-01
MERISTEM LLC CIO; MEMBER, CLASS B direct 2008-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2008-01-01
CROW, JON, KENNETH COO & TREASURER, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH, LLC COO & TREASURER, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO SECRETARY direct 2000-12-01 2003-12-19
SARGENT MANAGEMENT CO VICE PRES/SECRETARY direct 2000-12-01 2004-12-17
SARGENT MANAGEMENT CO VICE PRES/SEC./CHIEF COMPLIANCE OFFICER direct 2000-12-01 2005-01-27
SARGENT MANAGEMENT CO SECRETARY direct 2006-05-01 2007-11-28
SARGENT MANAGEMENT CO PRESIDENT direct 2008-01-01 2008-01-28
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01 2013-01-04
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01 2013-01-04
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01 2016-04-25
MERISTEM, LLP PARTNER direct 2007-01-01 2016-11-02
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01 2016-11-10
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01 2017-05-08
ROBBINS, JAMES, MICHAEL CCO, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01
MERISTEM, LLP PARTNER direct 2007-01-01
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01
MERISTEM FAMILY WEALTH, LLC CCO, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO CCO, SECRETARY & TREASURER direct 2017-05-01
PC 3 VENTURE LLC MEMBER, CLASS A 11/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS A direct 2016-11-01
SARGENT MANAGEMENT CO MEMBER CLASS A indirect 2016-11-01
SCHULZE, RICHARD, REV TR MEMBER, CLASS 2 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 2 indirect 2016-11-01
BERGMAN, KEVIN MEMBER, CLASS 3 PC 3 VENTURE LLC 11/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 3 indirect 2016-11-01
BENSON, MICHAEL, DAVID MEMBER, CLASS 1 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM LLC MEMBER, CLASS 1 indirect 2016-11-01
FAIRWAY WEALTH MANAGEMENT LLC MEMBER direct 2002-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MERISTEM GLOBAL EQUITY United States 805-9317841485 Other Private Fund LONG EQUITY 105,554,000 1 Fund of Funds
MERISTEM HIGH YIELD MUNICIPAL FUND, LLC United States 805-3852292150 Other Private Fund BOND FUND 61,028,000 1 Fund of Funds
WMC INTERNATIONAL United States 805-5499296027 Other Private Fund LONG EQUITY 12,467,000 1 Fund of Funds
CREDIT OPPORTUNITIES FUND United States 805-9236132492 Private Equity Fund 6,568,000 1 Fund of Funds
ENERGY OPPORTUNITIES FUND United States 805-5056309527 Private Equity Fund 5,900,000 1 Fund of Funds
FEEDER FUND TAO LLC United States 805-4838185359 Private Equity Fund 16,773,000 1 Fund of Funds
WMC OPPORTUNITIES FUND United States 805-3140208703 Hedge Fund 18,038,000 1 Fund of Funds
OPPORTUNITY PARTNERS CRESTLINE FUND, LLC United States 805-3800248969 Private Equity Fund 10,159,000 1 Fund of Funds
OPPORTUNITY PARTNERS ASIA FUND, LLC United States 805-4364917423 Other Private Fund EQUITY - CREDIT 4,082,000 1 Fund of Funds
BLACKROCK MASTER HEDGE, L.P. United States 805-3492083269 Hedge Fund 93,480,000 1 Fund of Funds

MERISTEM FAMILY WEALTH, LLC

ownership team - last updated 2018-11-19
Name Title Start Date Direct/Indirect % Ownership
MAXWELL, CHARLES, JOSEPH CEO; MEMBER, CLASS B 06/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH CEO; MEMBER, CLASS B direct 2003-06-01
MERISTEM, LLP GENERAL PARTNER direct 2003-06-01
MERISTEM, LLP CEO, PARTNER direct 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER CLASS B indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CHIEF EXECUTIVE OFFICER direct 2008-01-01
ADVISORS FINANCIAL SERVICES, LLC CHIEF MANAGER direct 2000-05-01
REGAN, PATRICK, RYAN CIO; MEMBER, CLASS B 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP CIO, GENERAL PARTNER direct 2006-09-01
MERISTEM, LLP CIO direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2008-01-01
MERISTEM LLC CIO; MEMBER, CLASS B direct 2008-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2008-01-01
CROW, JON, KENNETH COO & TREASURER, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH, LLC COO & TREASURER, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO SECRETARY direct 2000-12-01 2003-12-19
SARGENT MANAGEMENT CO VICE PRES/SECRETARY direct 2000-12-01 2004-12-17
SARGENT MANAGEMENT CO VICE PRES/SEC./CHIEF COMPLIANCE OFFICER direct 2000-12-01 2005-01-27
SARGENT MANAGEMENT CO SECRETARY direct 2006-05-01 2007-11-28
SARGENT MANAGEMENT CO PRESIDENT direct 2008-01-01 2008-01-28
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01 2013-01-04
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01 2013-01-04
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01 2016-04-25
MERISTEM, LLP PARTNER direct 2007-01-01 2016-11-02
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01 2016-11-10
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01 2017-05-08
ROBBINS, JAMES, MICHAEL CCO, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01
MERISTEM, LLP PARTNER direct 2007-01-01
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01
MERISTEM FAMILY WEALTH, LLC CCO, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO CCO, SECRETARY & TREASURER direct 2017-05-01
PC 3 VENTURE LLC MEMBER, CLASS A 11/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS A direct 2016-11-01
SARGENT MANAGEMENT CO MEMBER CLASS A indirect 2016-11-01
SCHULZE, RICHARD, REV TR MEMBER, CLASS 2 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 2 indirect 2016-11-01
BERGMAN, KEVIN MEMBER, CLASS 3 PC 3 VENTURE LLC 11/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 3 indirect 2016-11-01
BENSON, MICHAEL, DAVID MEMBER, CLASS 1 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM LLC MEMBER, CLASS 1 indirect 2016-11-01
FAIRWAY WEALTH MANAGEMENT LLC MEMBER direct 2002-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MERISTEM GLOBAL EQUITY United States 805-9317841485 Other Private Fund LONG EQUITY 106,366,000 1 Fund of Funds
MERISTEM HIGH YIELD MUNICIPAL FUND, LLC United States 805-3852292150 Other Private Fund BOND FUND 44,794,292 1 Fund of Funds
WMC INTERNATIONAL United States 805-5499296027 Other Private Fund LONG EQUITY 16,201,000 1 Fund of Funds
CREDIT OPPORTUNITIES FUND United States 805-9236132492 Private Equity Fund 12,535,000 1 Fund of Funds
ENERGY OPPORTUNITIES FUND United States 805-5056309527 Private Equity Fund 11,252,000 1 Fund of Funds
FEEDER FUND TAO LLC United States 805-4838185359 Private Equity Fund 21,316,000 1 Fund of Funds
WMC OPPORTUNITIES FUND United States 805-3140208703 Hedge Fund 18,701,000 1 Fund of Funds
OPPORTUNITY PARTNERS CRESTLINE FUND, LLC United States 805-3800248969 Private Equity Fund 15,102,000 1 Fund of Funds

MERISTEM FAMILY WEALTH, LLC

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
MAXWELL, CHARLES, JOSEPH CEO; MEMBER, CLASS B 06/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH CEO; MEMBER, CLASS B direct 2003-06-01
MERISTEM, LLP GENERAL PARTNER direct 2003-06-01
MERISTEM, LLP CEO, PARTNER direct 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CEO, MEMBER CLASS B indirect 2003-06-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2003-06-01
SARGENT MANAGEMENT CO CHIEF EXECUTIVE OFFICER direct 2008-01-01
ADVISORS FINANCIAL SERVICES, LLC CHIEF MANAGER direct 2000-05-01
REGAN, PATRICK, RYAN CIO; MEMBER, CLASS B 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP CIO, GENERAL PARTNER direct 2006-09-01
MERISTEM, LLP CIO direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2006-09-01
MERISTEM, LLP CIO, PARTNER direct 2008-01-01
MERISTEM LLC CIO; MEMBER, CLASS B direct 2008-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2008-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2008-01-01
CROW, JON, KENNETH COO & TREASURER, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH, LLC COO & TREASURER, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO SECRETARY direct 2000-12-01 2003-12-19
SARGENT MANAGEMENT CO VICE PRES/SECRETARY direct 2000-12-01 2004-12-17
SARGENT MANAGEMENT CO VICE PRES/SEC./CHIEF COMPLIANCE OFFICER direct 2000-12-01 2005-01-27
SARGENT MANAGEMENT CO SECRETARY direct 2006-05-01 2007-11-28
SARGENT MANAGEMENT CO PRESIDENT direct 2008-01-01 2008-01-28
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01 2013-01-04
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01 2013-01-04
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01 2016-04-25
MERISTEM, LLP PARTNER direct 2007-01-01 2016-11-02
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01 2016-11-10
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01 2017-05-08
ROBBINS, JAMES, MICHAEL CCO, MEMBER, CLASS B 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MERISTEM, LLP GENERAL PARTNER direct 2007-01-01
MERISTEM, LLP PARTNER direct 2007-01-01
MERISTEM LLC MEMBER, CLASS B direct 2007-01-01
MERISTEM FAMILY WEALTH, LLC CCO, MEMBER, CLASS B direct 2007-01-01
SARGENT MANAGEMENT CO GENERAL PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO PARTNER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER indirect 2007-01-01
SARGENT MANAGEMENT CO MEMBER CLASS B indirect 2007-01-01
SARGENT MANAGEMENT CO CCO, SECRETARY & TREASURER direct 2017-05-01
PC 3 VENTURE LLC MEMBER, CLASS A 11/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS A direct 2016-11-01
SARGENT MANAGEMENT CO MEMBER CLASS A indirect 2016-11-01
SCHULZE, RICHARD, REV TR MEMBER, CLASS 2 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 2 indirect 2016-11-01
BERGMAN, KEVIN MEMBER, CLASS 3 PC 3 VENTURE LLC 11/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
MERISTEM FAMILY WEALTH MEMBER, CLASS 3 indirect 2016-11-01
BENSON, MICHAEL, DAVID MEMBER, CLASS 1 PC 3 VENTURE LLC 11/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MERISTEM LLC MEMBER, CLASS 1 indirect 2016-11-01
FAIRWAY WEALTH MANAGEMENT LLC MEMBER direct 2002-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MERISTEM HIGH YIELD MUNICIPAL FUND, LLC United States 805-3852292150 Other Private Fund BOND FUND 44,794,292 1 Fund of Funds
WMC INTERNATIONAL United States 805-5499296027 Other Private Fund LONG EQUITY 16,201,000 1 Fund of Funds
OPPORTUNITY PARTNERS CRESTLINE FUND, LLC United States 805-3800248969 Private Equity Fund 15,102,000 1 Fund of Funds
MERISTEM GLOBAL EQUITY United States 805-9317841485 Other Private Fund LONG EQUITY 106,366,000 1 Fund of Funds
CREDIT OPPORTUNITIES FUND United States 805-9236132492 Private Equity Fund 12,535,000 1 Fund of Funds
ENERGY OPPORTUNITIES FUND United States 805-5056309527 Private Equity Fund 11,252,000 1 Fund of Funds
FEEDER FUND TAO LLC United States 805-4838185359 Private Equity Fund 21,316,000 1 Fund of Funds
WMC OPPORTUNITIES FUND United States 805-3140208703 Hedge Fund 18,701,000 1 Fund of Funds

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