POLARIS GREYSTONE FINANCIAL GROUP, LLC

HTTPS://WWW.POLARISGREYSTONE.COM SAN RAFAEL, CA Investment Advisor How do I update this listing?

Also known as:

  • POLARIS WEALTH ADVISERS LLC

Polaris Greystone Financial Group is based out of San Rafael. Polaris Greystone Financial Group is a large advisory firm with 1596 clients and discretionary assets under management (AUM) of $1,524,173,314 (Form ADV from 2018-09-01). Their last reported 13F filing for Q3 2019 included $1,224,845,000 in managed 13F securities and a top 10 holdings concentration of 28.78%. Polaris Greystone Financial Group's largest holding is iShares 7-10 Year Treasury Bond ETF with shares held of 552,623. Polaris Greystone Financial Group has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 26 13F filings

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68

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.225 Billion
  • Prior Market Value $1.319 Billion
  • New Purchases40 stocks
  • Additional Purchases56 stocks
  • Sold out of34 stocks
  • Reduced holdings in40 stocks
  • Top 10 Holdings % 28.78 %
  • Turnover % [1]:50.68%
  • Turnover Alt % [2]: 39.53 %
  • Time Held Top20:4.85 quarters
  • Time Held Top10:1.40 quarters
  • Time Held All:6.87 quarters

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

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

Portfolio Performance

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

Performance for Q2 2019: 1.41%
Performance Last 4 Quarters: 0.86%
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 (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

POLARIS GREYSTONE FINANCIAL GROUP, LLC
824 E STREET
SAN RAFAEL CA    94901
Country: United States

Business Phone: 415-263-5600
Fax: 415-263-8909
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 34
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1596
Amount of client funds and securities by related persons: 3,203,570
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

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POLARIS GREYSTONE FINANCIAL GROUP, LLC

ownership team - last updated 2019-05-07
Name Title Start Date Direct/Indirect % Ownership
POWELL, JEFFREY, JOHN MANAGING PARTNER 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
POLARIS EQUITY MANAGEMENT, INC. MANAGING MEMBER 08/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
POLARIS WEALTH ADVISERS, LLC SOLE MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2016-01-01
MOSS EQUITY MANAGEMENT, LLC MANAGING MEMBER 10/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER direct 2015-10-01
POLARIS WEALTH ADVISERS, LLC MEMBER direct 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2015-10-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2015-10-01
MASON, JAMES, RICHARD CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEONARD & COMPANY CHIEF COMPLIANCE OFFICER direct 2012-02-01
LJPR, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
WITBECK, JEREMY, DEE DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS GREYSTONE FINANCIAL GROUP, LLC DIRECTOR direct 2017-10-01
POWELL, JEFFREY, JOHN SOLE SHAREHOLDER, PRESIDENT, AND CEO POLARIS EQUITY MANAGEMENT, INC. 08/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
MOSS, TODD, ROBINSON SOLE MEMBER MOSS EQUITY MANAGEMENT, LLC 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE SHAREHOLDER indirect 2015-10-01
GREYSTONE RETIREMENT GROUP, LLC SHAREHOLDER indirect 1995-09-01
GREYSTONE RETIREMENT GROUP, LLC ELECTED MANAGER, CCO & CEO direct 2014-08-01

POLARIS GREYSTONE FINANCIAL GROUP, LLC

ownership team - last updated 2019-03-06
Name Title Start Date Direct/Indirect % Ownership
POWELL, JEFFREY, JOHN MANAGING PARTNER 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
POLARIS EQUITY MANAGEMENT, INC. MANAGING MEMBER 08/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
POLARIS WEALTH ADVISERS, LLC SOLE MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2016-01-01
MOSS EQUITY MANAGEMENT, LLC MANAGING MEMBER 10/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER direct 2015-10-01
POLARIS WEALTH ADVISERS, LLC MEMBER direct 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2015-10-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2015-10-01
MASON, JAMES, RICHARD CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEONARD & COMPANY CHIEF COMPLIANCE OFFICER direct 2012-02-01
LJPR, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
WITBECK, JEREMY, DEE DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS GREYSTONE FINANCIAL GROUP, LLC DIRECTOR direct 2017-10-01
POWELL, JEFFREY, JOHN SOLE SHAREHOLDER, PRESIDENT, AND CEO POLARIS EQUITY MANAGEMENT, INC. 08/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
MOSS, TODD, ROBINSON SOLE MEMBER MOSS EQUITY MANAGEMENT, LLC 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE SHAREHOLDER indirect 2015-10-01
GREYSTONE RETIREMENT GROUP, LLC SHAREHOLDER indirect 1995-09-01
GREYSTONE RETIREMENT GROUP, LLC ELECTED MANAGER, CCO & CEO direct 2014-08-01

POLARIS GREYSTONE FINANCIAL GROUP, LLC

ownership team - last updated 2018-12-14
Name Title Start Date Direct/Indirect % Ownership
POWELL, JEFFREY, JOHN MANAGING PARTNER 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
POLARIS EQUITY MANAGEMENT, INC. MANAGING MEMBER 08/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
POLARIS WEALTH ADVISERS, LLC SOLE MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2016-01-01
MOSS EQUITY MANAGEMENT, LLC MANAGING MEMBER 10/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER direct 2015-10-01
POLARIS WEALTH ADVISERS, LLC MEMBER direct 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2015-10-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2015-10-01
MASON, JAMES, RICHARD CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEONARD & COMPANY CHIEF COMPLIANCE OFFICER direct 2012-02-01
LJPR, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
CRESCENZO, ANGELA CHIEF OPERATING OFFICER 08/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-08-01
POLARIS WEALTH ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-08-01
WITBECK, JEREMY, DEE DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS GREYSTONE FINANCIAL GROUP, LLC DIRECTOR direct 2017-10-01
POWELL, JEFFREY, JOHN SOLE SHAREHOLDER, PRESIDENT, AND CEO POLARIS EQUITY MANAGEMENT, INC. 08/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
MOSS, TODD, ROBINSON SOLE MEMBER MOSS EQUITY MANAGEMENT, LLC 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE SHAREHOLDER indirect 2015-10-01
GREYSTONE RETIREMENT GROUP, LLC SHAREHOLDER indirect 1995-09-01
GREYSTONE RETIREMENT GROUP, LLC ELECTED MANAGER, CCO & CEO direct 2014-08-01

POLARIS GREYSTONE FINANCIAL GROUP, LLC

ownership team - last updated 2018-05-24
Name Title Start Date Direct/Indirect % Ownership
POWELL, JEFFREY, JOHN MANAGING PARTNER 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
POLARIS EQUITY MANAGEMENT, INC. MANAGING MEMBER 08/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
POLARIS WEALTH ADVISERS, LLC SOLE MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2012-08-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2016-01-01
MOSS EQUITY MANAGEMENT, LLC MANAGING MEMBER 10/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER direct 2015-10-01
POLARIS WEALTH ADVISERS, LLC MEMBER direct 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING MEMBER direct 2015-10-01
POLARIS GREYSTONE ADVISORY GROUP, LLC MEMBER indirect 2015-10-01
MASON, JAMES, RICHARD CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEONARD & COMPANY CHIEF COMPLIANCE OFFICER direct 2012-02-01
LJPR, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-09-01
CRESCENZO, ANGELA CHIEF OPERATING OFFICER 08/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-08-01
POLARIS WEALTH ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-08-01
WITBECK, JEREMY, DEE DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POLARIS GREYSTONE FINANCIAL GROUP, LLC DIRECTOR direct 2017-10-01
POWELL, JEFFREY, JOHN SOLE SHAREHOLDER, PRESIDENT, AND CEO POLARIS EQUITY MANAGEMENT, INC. 08/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO direct 1998-08-01
POLARIS EQUITY MANAGEMENT, INC. PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER direct 1998-08-01
POLARIS WEALTH ADVISERS, LLC SOLE SHAREHOLDER, PRESIDENT, AND CEO indirect 1998-08-01
POLARIS WEALTH ADVISERS, LLC TRUSTEE indirect 2010-01-01
POLARIS WEALTH ADVISERS, LLC PRESIDENT & CEO direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER direct 2011-06-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC MANAGING PARTNER direct 2011-06-01
POLARIS WEALTH ADVISERS, LLC MANAGING MEMBER, PRESIDENT AND CEO indirect 2011-06-01
MOSS, TODD, ROBINSON SOLE MEMBER MOSS EQUITY MANAGEMENT, LLC 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1995-09-01
GREYSTONE FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
GREYSTONE FINANCIAL GROUP, INC. SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE MEMBER indirect 2015-10-01
POLARIS GREYSTONE FINANCIAL GROUP, LLC SOLE SHAREHOLDER indirect 2015-10-01
GREYSTONE RETIREMENT GROUP, LLC SHAREHOLDER indirect 1995-09-01
GREYSTONE RETIREMENT GROUP, LLC ELECTED MANAGER, CCO & CEO direct 2014-08-01

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