PERIGON WEALTH MANAGEMENT, LLC

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Perigon Wealth Management is based out of San Francisco. Perigon Wealth Management is a large advisory firm with 850 clients and discretionary assets under management (AUM) of $611,195,382 (Form ADV from 2017-11-01). Their last reported 13F filing for Q2 2020 included $630,799,000 in managed 13F securities and a top 10 holdings concentration of 37.26%. Perigon Wealth Management's largest holding is Union Pacific Corp. with shares held of 358,943. Perigon Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 29 13F filings

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06/30/2020

13F Activity

  • Market Value $630.799 Million
  • Prior Market Value $537.284 Million
  • New Purchases60 stocks
  • Additional Purchases147 stocks
  • Sold out of19 stocks
  • Reduced holdings in134 stocks
  • Top 10 Holdings % 37.27 %
  • Turnover % [1]:22.01%
  • Turnover Alt % [2]: 7.23 %
  • Time Held Top20:9.85 quarters
  • Time Held Top10:10.00 quarters
  • Time Held All:9.86 quarters

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

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

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

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

Performance for Q1 2020: 30.91%
Performance Last 4 Quarters: -0.27%
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

View Last Form Adv Compilation Report on Record

PERIGON WEALTH MANAGEMENT, LLC
201 MISSION STREET SUITE 1825
SAN FRANCISCO CA    94105
Country: United States

Business Phone: 415-430-4140
Fax: 415-430-4160
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 16
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 595,000,000
Total Number of Clients: 850
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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PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN CHIEF EXECUTIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER AND HEAD OF MERGERS AND ACQUISITIONS 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
PERIGON FINANCIAL HOLDINGS, LLC MEMBER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC MEMBER direct 2019-01-01
PINSON-ROSE, CHARLES, BERNARD CHIEF FINANCIAL OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2019-01-01
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
PERIGON PARTNERS, LLC MEMBER PERIGON FINANCIAL HOLDINGS, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01
PAUL, JEREMY OWNER JHBJ HOLDINGS, LLC 10/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PARADIGM FINANCIAL GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2017-10-01
PARADIGM FINANCIAL GROUP, LLC OWNER indirect 2017-10-01
JHBJ HOLDINGS, LLC PARTNER PERIGON PARTNERS, LLC 01/01/2020 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PARADIGM FINANCIAL GROUP, LLC OWNER indirect 2017-10-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-02-12
Name Title Start Date Direct/Indirect % Ownership

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-11-20
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN CHIEF EXECUTIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
PERIGON FINANCIAL HOLDINGS, LLC MEMBER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC MEMBER direct 2019-01-01
PINSON-ROSE, CHARLES, BERNARD CHIEF FINANCIAL OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2019-01-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
PERIGON PARTNERS, LLC MEMBER PERIGON FINANCIAL HOLDINGS, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-09-06
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN CHIEF EXECUTIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
PERIGON FINANCIAL HOLDINGS, LLC MEMBER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC MEMBER direct 2019-01-01
PINSON-ROSE, CHARLES, BERNARD CHIEF FINANCIAL OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2019-01-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
PERIGON PARTNERS, LLC MEMBER PERIGON FINANCIAL HOLDINGS, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-04-24
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN CHIEF EXECUTIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
PERIGON FINANCIAL HOLDINGS, LLC MEMBER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC MEMBER direct 2019-01-01
PINSON-ROSE, CHARLES, BERNARD CHIEF FINANCIAL OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2019-01-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
PERIGON PARTNERS, LLC MEMBER PERIGON FINANCIAL HOLDINGS, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN CHIEF EXECUTIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
PERIGON FINANCIAL HOLDINGS, LLC MEMBER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC MEMBER direct 2019-01-01
PINSON-ROSE, CHARLES, BERNARD CHIEF FINANCIAL OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2019-01-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
PERIGON PARTNERS, LLC MEMBER PERIGON FINANCIAL HOLDINGS, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2018-12-26
Name Title Start Date Direct/Indirect % Ownership
HART, PHILIP, ALLEN DIRECTOR 04/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
PERIGON PARTNERS, LLC PARENT COMPANY 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01
AMBARIK, ARTHUR, JOHN DIRECTOR 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
NEWHALL, DANIEL CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01

PERIGON WEALTH MANAGEMENT, LLC

ownership team - last updated 2017-07-13
Name Title Start Date Direct/Indirect % Ownership
AMBARIK, ARTHUR, JOHN DIRECTOR 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
JOHNSON, MATTHEW, ALLEN DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-02-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
QCM, LLC MANAGING DIRECTOR direct 2006-11-01
JOHNSON CAPITAL INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2009-05-01
SLOW CAPITAL, INC. CEO/CCO direct 2017-01-01
SCHOW, STEVEN, HOWARD DIRECTOR 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2014-05-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
COLLABORATION CAPITAL LLC MEMBER indirect 2017-08-01
HALE, CHRISTOPHER, HOUSTON CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
YELLOWBRICKROAD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-07-01
PERIGON PARTNERS, LLC PARENT COMPANY 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARENT COMPANY direct 2004-04-01
HART, PHILIP, ALLEN DIRECTOR 04/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03
AMBARIK, ARTHUR, JOHN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
JOHNSON, MATTHEW, ALLEN PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2013-02-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
QCM, LLC MANAGING DIRECTOR direct 2006-11-01
JOHNSON CAPITAL INVESTMENT PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2009-05-01
SLOW CAPITAL, INC. CEO/CCO direct 2017-01-01
SCHOW, STEVEN, HOWARD PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2014-05-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
COLLABORATION CAPITAL LLC MEMBER indirect 2017-08-01
HALE, CHRISTOPHER, HOUSTON PARTNER PERIGON PARTNERS, LLC 06/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2013-01-01
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2014-06-01
YELLOWBRICKROAD FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-07-01
HART, PHILIP, ALLEN PARTNER PERIGON PARTNERS, LLC 04/01/2004 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PERIGON WEALTH MANAGEMENT, LLC PARTNER indirect 2004-04-01
PERIGON WEALTH MANAGEMENT, LLC DIRECTOR direct 2004-04-01
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER direct 2002-02-01 2002-09-18
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PORTFOLIO MANAGER & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2004-03-12
BISHOP STREET CAPITAL MANAGEMENT CORP SENIOR PM & DIRECTOR OF HIGH NET WORTH direct 2002-02-01 2005-02-08
PERIGON WEALTH MANAGEMENT, LLC CIO/PRINCIPAL indirect 2004-04-01 2014-09-03
PERIGON WEALTH MANAGEMENT, LLC PRINCIPAL & CIO direct 2004-04-01 2014-09-03

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