SOUND VIEW WEALTH ADVISORS GROUP, LLC

https://www.soundviewealthadvisors.com SAVANNAH, GA Investment Advisor How do I update this listing?

Sound View Wealth Advisors Group is based out of Savannah. Sound View Wealth Advisors Group is a large advisory firm with 471 clients and discretionary assets under management (AUM) of $716,123,107 (Form ADV from 2019-10-10). Their last reported 13F filing for Q3 2019 included $335,526,000 in managed 13F securities and a top 10 holdings concentration of 25.64%. Sound View Wealth Advisors Group's largest holding is iShares iBonds Dec 2025 Term Corp ETF with shares held of 842,388. Whalewisdom has at least 2 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $335.526 Million
  • Prior Market Value $338.27 Million
  • New Purchases5 stocks
  • Additional Purchases55 stocks
  • Sold out of14 stocks
  • Reduced holdings in152 stocks
  • Top 10 Holdings % 25.64 %
  • Turnover % [1]:8.12%
  • Turnover Alt % [2]: 7.00 %
  • Time Held Top20:0.90 quarters
  • Time Held Top10:1.00 quarters
  • Time Held All:0.98 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: -0.44%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SOUND VIEW WEALTH ADVISORS GROUP, LLC
1 SKIDAWAY VILLAGE WALK SUITE 201
SAVANNAH GA    31411
Country: United States

Business Phone: 912-239-4630
Fax: 912-239-4626
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 10
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 471
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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SOUND VIEW WEALTH ADVISORS GROUP, LLC

ownership team - last updated 2019-05-23
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 02/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
BOUCHILLON, MELISSA, K CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER direct 2018-03-01
HAM, OSCAR, EMERSON SENIOR PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC OWNER/SENIOR PARTNER indirect 2018-03-01
SOUND VIEW WEALTH ADVISORS, LLC SENIOR PARTNER direct 2018-03-01
BOUCHILLON, KELLY, LEE SENIOR PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC OWNER/SENIOR PARTNER indirect 2018-03-01
SOUND VIEW WEALTH ADVISORS, LLC SENIOR PARTNER direct 2018-03-01
AMBROSE, EDWARD, FRANCIS PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC PARTNER direct 2018-03-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

SOUND VIEW WEALTH ADVISORS GROUP, LLC

ownership team - last updated 2019-02-25
Name Title Start Date Direct/Indirect % Ownership
FOCUS OPERATING, LLC MEMBER (MANAGER) 02/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
GW & WADE, LLC MEMBER (MANAGER) indirect 2007-01-01
GW & WADE, LLC MEMBER direct 2007-09-01
GW & WADE, LLC MEMBER (MANAGER) direct 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER direct 2006-06-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
SENTINEL PENSION ADVISORS INC MEMBER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
SCS CAPITAL MANAGEMENT LLC MEMBER (MANAGER) direct 2017-07-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER direct 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER (MANAGER) direct 2006-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MANAGING MEMBER direct 2006-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER (MANAGER) direct 2006-05-01
BAM ADVISOR SERVICES, LLC MEMBER (MANAGER) direct 2007-02-01
BAM ADVISOR SERVICES, LLC MEMBER direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-02-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER direct 2007-02-01
BFSG, LLC MEMBER direct 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER direct 2016-01-01
JFS WEALTH ADVISORS, LLC MEMBER direct 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2007-09-01
DION MONEY MANAGEMENT LLC MEMBER direct 2007-09-01
LARA, SHULL & MAY, LLC 100 % OWNER direct 2007-10-01
LARA, SHULL & MAY, LLC MEMBER direct 2007-10-01
WESPAC ADVISORS, LLC MEMBER direct 2008-07-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) direct 2009-11-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-12-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2009-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) direct 2010-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER (MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER(MANAGER) direct 2010-12-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER direct 2010-12-01
THE COLONY GROUP, LLC MEMBER direct 2011-10-01
THE COLONY GROUP, LLC MEMBER (MANAGER) direct 2011-10-01
HUFFORD ADVISORS, LLC MEMBER (MANAGER) direct 2011-09-01
LVW ADVISORS, LLC MANAGING MEMBER direct 2011-10-01
LVW ADVISORS, LLC MEMBER (MANAGER) direct 2011-10-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC SOLE MEMBER (MANAGER) direct 2011-09-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER direct 2011-09-01
VESTOR CAPITAL, LLC MEMBER direct 2012-10-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER direct 2012-12-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGER) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (CONTROLLING) direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER (MANAGING) direct 2012-12-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER direct 2013-02-01
BEIRNE WEALTH CONSULTING SERVICES, LLC MEMBER (MANAGER) direct 2013-02-01
TELEMUS CAPITAL, LLC MEMBER direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER (MANAGER) direct 2013-08-01
LAFLEUR & GODFREY LLC MEMBER direct 2013-08-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2014-11-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-02-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER (MANAGER) indirect 2015-04-01
THE FIDUCIARY GROUP, LLC MEMBER (MANAGER) direct 2015-04-01
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC MEMBER (MANAGER) direct 2015-07-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER (MANAGER) direct 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER/MANAGER direct 2015-10-01
FORT PITT CAPITAL GROUP, LLC MEMBER direct 2015-10-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER direct 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2016-01-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER (MANAGER) direct 2016-01-01
CARNICK & KUBIK GROUP, LLC MEMBER direct 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER direct 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER (MANAGER) direct 2016-08-01
OREN ADVISORS, LLC MEMBER (MANAGER) direct 2016-10-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER (MANAGER) direct 2017-02-01
BORDEAUX WEALTH ADVISORS LLC MEMBER (MANAGER) direct 2017-03-01
LAKE STREET ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-04-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER (MANAGER) direct 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER (MANAGER) direct 2017-09-01
BOUCHILLON, MELISSA, K CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER direct 2018-03-01
HAM, OSCAR, EMERSON SENIOR PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC OWNER/SENIOR PARTNER indirect 2018-03-01
SOUND VIEW WEALTH ADVISORS, LLC SENIOR PARTNER direct 2018-03-01
BOUCHILLON, KELLY, LEE SENIOR PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC OWNER/SENIOR PARTNER indirect 2018-03-01
SOUND VIEW WEALTH ADVISORS, LLC SENIOR PARTNER direct 2018-03-01
AMBROSE, EDWARD, FRANCIS PARTNER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND VIEW WEALTH ADVISORS, LLC PARTNER direct 2018-03-01
FOCUS FINANCIAL PARTNERS, LLC MEMBER FOCUS OPERATING, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SCS CAPITAL MANAGEMENT LLC MEMBER indirect 2007-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2006-01-01
STRATEGIC POINT INVESTMENT ADVISORS LLC MEMBER indirect 2007-01-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER direct 2005-07-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER (MANAGER) indirect 2006-12-01
FOUNDERS FINANCIAL NETWORK, LLC MEMBER indirect 2007-01-01
CAG ACQUISITION, LLC MEMBER direct 2006-01-01
CAG ACQUISITION, LLC MEMBER indirect 2006-12-01
CAG ACQUISITION, LLC SHAREHOLDER indirect 2006-12-01
CAPITAL ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
HOYLECOHEN, LLC MEMBER direct 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2006-05-01
HOYLECOHEN, LLC MEMBER indirect 2007-01-01
QUANTUM CAPITAL MANAGEMENT DBA QCM, LLC MEMBER direct 2007-01-01
QCM, LLC DBA QUANTUM CAPITAL MANAGEMENT MEMBER indirect 2007-01-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2006-12-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2007-01-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2006-12-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-01-01
BFSG, LLC MEMBER indirect 2007-03-01
POWERS CAPITAL INVESTMENTS, INC. MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
JFS WEALTH ADVISORS, LLC MEMBER indirect 2007-08-01
ATLAS PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
DION MONEY MANAGEMENT LLC MEMBER indirect 2007-09-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2007-01-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
LARA, SHULL & MAY, LLC MEMBER indirect 2007-10-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
WESPAC ADVISORS, LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2006-12-01
JOEL ISAACSON & CO., LLC MEMBER indirect 2007-01-01
JOEL ISAACSON & CO., LLC MEMBER (MANAGER) indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MEMBER indirect 2007-09-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER (MANAGER) indirect 2006-12-01
BRIDGEWATER WEALTH & FINANCIAL MANAGEMENT, LLC MEMBER indirect 2007-01-01
PETTINGA FINANCIAL ADVISORS, LLC MEMBER indirect 2007-01-01
THE COLONY GROUP, LLC MEMBER indirect 2007-01-01
HUFFORD ADVISORS, LLC MEMBER indirect 2007-01-01
LVW ADVISORS, LLC MEMBER indirect 2007-01-01
SAPIENT PRIVATE WEALTH MANAGEMENT SERVICES, LLC MEMBER indirect 2007-01-01
VESTOR CAPITAL, LLC MEMBER indirect 2007-01-01
MERRIMAN WEALTH MANAGEMENT, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMEBER indirect 2007-01-01
THE PORTFOLIO STRATEGY GROUP, LLC MANAGING MEMBER direct 2012-12-01
THE PORTFOLIO STRATEGY GROUP, LLC MEMBER direct 2012-12-01
TELEMUS CAPITAL, LLC MEMBER indirect 2007-01-01
LAFLEUR & GODFREY LLC MEMBER indirect 2007-01-01
SUMMIT FINANCIAL WEALTH ADVISORS, LLC MEMBER indirect 2007-01-01
GRATUS CAPITAL, LLC MEMBER indirect 2007-01-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
INSTITUTIONAL AND FAMILY ASSET MANAGEMENT, LLC MEMBER indirect 2007-01-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2007-01-01
THE FIDUCIARY GROUP, LLC MEMBER indirect 2015-04-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2007-01-01
RELATIVE VALUE PARTNERS GROUP, LLC MEMBER indirect 2015-07-01
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FORT PITT CAPITAL GROUP, LLC MEMBER (MANAGER) direct 2015-08-01
PATTON ALBERTSON MILLER GROUP, LLC MEMBER indirect 2015-10-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2007-01-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER/MANAGER direct 2015-11-01
DOUGLAS LANE & ASSOCIATES, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2007-01-01
CARNICK & KUBIK GROUP, LLC MEMBER indirect 2016-04-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2007-01-01
WADDELL & ASSOCIATES, LLC MEMBER indirect 2016-04-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2007-01-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2016-08-01
XML FINANCIAL, LLC MEMBER indirect 2007-01-01
CRESTWOOD ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2016-12-01
ONE CHARLES PRIVATE WEALTH SERVICES, LLC MEMBER indirect 2017-02-01
CFO4LIFE GROUP, LLC MEMBER indirect 2007-01-01
BORDEAUX WEALTH ADVISORS LLC MEMBER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC OWNER indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC 16-1728260 indirect 2007-01-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2017-01-01
BROWNLIE & BRADEN ADVISORS, LLC MEMBER indirect 2016-12-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
ETON ADVISORS GROUP, LLC MEMBER indirect 2007-01-01
GW & WADE, LLC MEMBER indirect 2007-01-01
GW & WADE INC MEMBER indirect 2007-09-01
RESNICK INVESTMENT ADVISORS, LLC MEMBER indirect 2007-01-01
GELLER ADVISORY GROUP, LLC MEMBER direct 2006-01-01
GELLER ADVISORY GROUP LTD SHAREHOLDER direct 2006-01-01
GELLER ADVISORY GROUP, LLC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC MEMBER indirect 2007-01-01
SENTINEL PENSION ADVISORS INC DIRECT OWNER direct 2007-01-01
WESPAC ADVISORS, LLC MEMBER indirect 2006-12-01
FOCUS FINANCIAL PARTNERS INC. MEMBER FOCUS FINANCIAL PARTNERS, LLC 07/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FORT PITT CAPITAL GROUP, LLC MEMBER indirect 2018-07-01
KOVITZ INVESTMENT GROUP PARTNERS, LLC MEMBER indirect 2018-07-01
VESTOR CAPITAL, LLC MEMBER indirect 2018-07-01
FORTEM FINANCIAL GROUP, LLC MEMBER indirect 2018-07-01
GYL FINANCIAL SYNERGIES, LLC MEMBER indirect 2018-07-01
GW & WADE, LLC MEMBER indirect 2018-07-01
CORNERSTONE WEALTH GROUP, LLC MEMBER indirect 2018-07-01
BAM ADVISOR SERVICES, LLC MEMBER indirect 2018-07-01
LLBH PRIVATE WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2018-07-01
TELEMUS CAPITAL, LLC MEMBER indirect 2018-07-01
BFSG, LLC MEMBER indirect 2018-07-01
DORCHESTER WEALTH MANAGEMENT COMPANY MEMBER indirect 2018-07-01
XML FINANCIAL, LLC MEMBER indirect 2018-07-01
LARA, MAY & ASSOCIATES, LLC MEMBER indirect 2018-07-01
LAKE STREET ADVISORS GROUP, LLC MEMBER indirect 2018-07-01
BUCKINGHAM ASSET MANAGEMENT, LLC MEMBER indirect 2018-07-01
THE COLONY GROUP, LLC MEMBER indirect 2018-07-01
HOYLECOHEN, LLC MEMBER indirect 2018-07-01
STRATEGIC WEALTH PARTNERS GROUP, LLC MEMBER indirect 2018-07-01

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