UNITED CAPITAL FINANCIAL ADVISERS, LLC

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United Capital Financial Advisers is based out of Newport Beach. United Capital Financial Advisers is a large advisory firm with 20345 clients and discretionary assets under management (AUM) of $21,296,239,540 (Form ADV from 2019-08-15). Their last reported 13F filing for Q4 2019 included $15,500,435,000 in managed 13F securities and a top 10 holdings concentration of 23.23%. United Capital Financial Advisers's largest holding is iShares Core U.S. Treasury Bond ETF with shares held of 19,811,496. Whalewisdom has at least 50 13F filings, and 1 13G filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $15.5 Billion
  • Prior Market Value $14.299 Billion
  • New Purchases369 stocks
  • Additional Purchases546 stocks
  • Sold out of79 stocks
  • Reduced holdings in363 stocks
  • Top 10 Holdings % 23.23 %
  • Turnover % [1]:32.89%
  • Turnover Alt % [2]: 8.13 %
  • Time Held Top20:13.80 quarters
  • Time Held Top10:15.30 quarters
  • Time Held All:16.44 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 2020-02-14

Performance for Q4 2019: 5.26%
Performance Last 4 Quarters: 18.3%
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
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
GOLDMAN SACHS GROUP INC
IMD Holdings, LLC
United Capital Financial Partners, Inc

View Last Form Adv Compilation Report on Record

UNITED CAPITAL FINANCIAL ADVISERS
620 NEWPORT CENTER DRIVE SUITE 500
NEWPORT BEACH CA    92660
Country: United States

Business Phone: 949-999-8500
Fax: 949-999-8545
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 671
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Subscription fees,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 20345
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.D (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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UNITED CAPITAL FINANCIAL ADVISERS, LLC

ownership team - last updated 2019-08-15
Name Title Start Date Direct/Indirect % Ownership
UNITED CAPITAL FINANCIAL PARTNERS, INC. SOLE MEMBER AND MANAGER 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL SYNERGIES ADVISORY, LTD. SOLE SHARE HOLDER indirect 2004-11-01
INTEGRATED FINANCIAL MANAGEMENT INC SOLE SHAREHOLDER OF UCFA direct 2004-11-01
HOTCHKISS ASSOCIATES LLC INDIRECT OWNER OF HOTCHKISS ASSOCIATES, LLC indirect 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. OWNER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS SOLE SHAREHOLDER OF UCFA direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SOLE SHAREHOLDER OF UCIA direct 2005-05-01
UNITED CAPITAL INVESTMENT ADVISERS, INC OWNER direct 2005-05-01
PFE ADVISORS,INC. CORPORATION direct 2004-05-01
PFE ADVISORS, INC. SOLE SHAREHOLDER direct 2007-08-01
DURAN, JOSEPH, JOHN MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL INVESTMENT ADVISERS, INC PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SHAREHOLDER OF UCFP indirect 2005-04-01
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER direct 2005-05-01
PFE ADVISORS, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER direct 2007-08-01
INTEGRATED FINANCIAL MANAGEMENT INC CEO, DIRECTOR, PORTFOLIO MANAGER direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2009-02-01
CENTURION HINDS INVESTMENT MANAGEMENT CORP DIRECTOR direct 1999-12-01 2002-01-17
CENTURION CAPITAL MANAGEMENT CORP DIRECTOR/PRESIDENT direct 1999-06-01 2002-11-08
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER indirect 2005-02-01 2005-06-21
UNITED CAPITAL INVESTMENT ADVISERS, INC DIRECTOR, CEO indirect 2005-02-01 2006-01-27
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CEO indirect 2005-02-01 2006-02-09
PFE ADVISORS,INC. DIRECTOR, CEO/PRESIDENT direct 2007-08-01 2007-08-23
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR direct 2004-11-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, INC. SHAREHOLDER OF UCFP indirect 2005-04-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2010-03-15
PFE ADVISORS, INC. DIRECTOR, CEO direct 2007-08-01 2016-03-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2017-03-30
ROTH, GARY, LAWRENCE MANAGING DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED FINANCIAL MANAGEMENT INC SR VP, CFO, DIRECTOR direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF BUSINESS OFFICER direct 2017-01-01
UNITED CAPITAL INVESTMENT ADVISERS, INC CHIEF OPERATING OFFICER direct 2006-01-01
PFE ADVISORS, INC. DIRECTOR, CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, COO/CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
PFE ADVISORS, INC. CHIEF BUSINESS OFFICER direct 2017-01-01
HERMAN, MICHAEL, ANSON VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOTCHKISS ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT direct 2008-10-01
STRATEGIC WEALTH ADVISORS GROUP DIRECTOR OF SALES PRACTICES direct 2006-05-01
STRATEGIC WEALTH ADVISORS GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2007-06-01
PFE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
CAPELLE, MICHAEL, JOHN MANAGING DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER direct 2014-09-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF PLATFORM OFFICER direct 2017-01-01
BERNAL, JORGE, A MANAGING DIRECTOR, CHIEF OPERATING OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
PFEIFFER, NATASHA, IRINA COUNSEL 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PFE ADVISORS, INC. COUNSEL direct 2019-07-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC COUNSEL direct 2019-07-01
THE GOLDMAN SACHS GROUP, INC. SOLE MEMBER AND MANAGER IMD HOLDINGS, LLC 07/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
IMD HOLDINGS, LLC SOLE MEMBER AND MANAGER UNITED CAPITAL FINANCIAL PARTNERS, INC. 07/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15

UNITED CAPITAL FINANCIAL ADVISERS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
UNITED CAPITAL FINANCIAL PARTNERS, INC. SOLE SHAREHOLDER OF UCFA 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL SYNERGIES ADVISORY, LTD. SOLE SHARE HOLDER indirect 2004-11-01
INTEGRATED FINANCIAL MANAGEMENT INC SOLE SHAREHOLDER OF UCFA direct 2004-11-01
HOTCHKISS ASSOCIATES LLC INDIRECT OWNER OF HOTCHKISS ASSOCIATES, LLC indirect 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. OWNER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS SOLE SHAREHOLDER OF UCFA direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SOLE SHAREHOLDER OF UCIA direct 2005-05-01
UNITED CAPITAL INVESTMENT ADVISERS, INC OWNER direct 2005-05-01
PFE ADVISORS,INC. CORPORATION direct 2004-05-01
PFE ADVISORS, INC. SOLE SHAREHOLDER direct 2007-08-01
DURAN, JOSEPH, JOHN DIRECTOR, CHIEF EXECUTIVE OFFICER 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL INVESTMENT ADVISERS, INC PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SHAREHOLDER OF UCFP indirect 2005-04-01
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER direct 2005-05-01
PFE ADVISORS, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER direct 2007-08-01
INTEGRATED FINANCIAL MANAGEMENT INC CEO, DIRECTOR, PORTFOLIO MANAGER direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2009-02-01
CENTURION HINDS INVESTMENT MANAGEMENT CORP DIRECTOR direct 1999-12-01 2002-01-17
CENTURION CAPITAL MANAGEMENT CORP DIRECTOR/PRESIDENT direct 1999-06-01 2002-11-08
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER indirect 2005-02-01 2005-06-21
UNITED CAPITAL INVESTMENT ADVISERS, INC DIRECTOR, CEO indirect 2005-02-01 2006-01-27
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CEO indirect 2005-02-01 2006-02-09
PFE ADVISORS,INC. DIRECTOR, CEO/PRESIDENT direct 2007-08-01 2007-08-23
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR direct 2004-11-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, INC. SHAREHOLDER OF UCFP indirect 2005-04-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2010-03-15
PFE ADVISORS, INC. DIRECTOR, CEO direct 2007-08-01 2016-03-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2017-03-30
ROTH, GARY, LAWRENCE DIRECTOR, CHIEF BUSINESS OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED FINANCIAL MANAGEMENT INC SR VP, CFO, DIRECTOR direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF BUSINESS OFFICER direct 2017-01-01
UNITED CAPITAL INVESTMENT ADVISERS, INC CHIEF OPERATING OFFICER direct 2006-01-01
PFE ADVISORS, INC. DIRECTOR, CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, COO/CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
PFE ADVISORS, INC. CHIEF BUSINESS OFFICER direct 2017-01-01
HERMAN, MICHAEL, ANSON CHIEF COMPLIANCE OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOTCHKISS ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT direct 2008-10-01
STRATEGIC WEALTH ADVISORS GROUP DIRECTOR OF SALES PRACTICES direct 2006-05-01
STRATEGIC WEALTH ADVISORS GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2007-06-01
PFE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
CAPELLE, MICHAEL, JOHN DIRECTOR, CHIEF PLATFORM OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER direct 2014-09-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF PLATFORM OFFICER direct 2017-01-01
HALLMAN, DAVID, LAMAR SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER direct 2013-01-01
CREEKSIDE INVESTMENT MANAGEMENT INC FIRST VICE PRESIDENT direct 1993-09-01 2003-01-06
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER direct 2013-01-01 2017-03-30
FROJEN, JON, COLIN CHIEF FINANCIAL OFFICER AND TREASURER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2016-01-01
PFE ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2016-01-01
BECK, KRISTINA, CHEH CHIEF LEGAL OFFICER & CORPORATE SECRETARY 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC GENERAL COUNSEL AND CORPORATE SECREARY direct 2015-09-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF LEGAL OFFICER & CORPORATE SECRETARY direct 2017-01-01
PFE ADVISORS, INC. GENERAL COUNSEL AND CORPORATE SECREARY direct 2015-09-01
PFE ADVISORS, INC. CHIEF LEGAL OFFICER & CORPORATE SECRETARY direct 2017-01-01
CITYVIEW VENTURE PARTNERS LLC GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2011-03-01
Bernal, Jorge, A CHIEF OPERATING OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF OPERATING OFFICER direct 2016-07-01
MURPHY, KARA, MARIE CHIEF INVESTMENT OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA ASSET MANAGEMENT CORP. SENIOR VP & CHIEF INVESTMENT OFFICER direct 2013-12-01

UNITED CAPITAL FINANCIAL ADVISERS, LLC

ownership team - last updated 2018-06-15
Name Title Start Date Direct/Indirect % Ownership
UNITED CAPITAL FINANCIAL PARTNERS, INC. SOLE SHAREHOLDER OF UCFA 11/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
FINANCIAL SYNERGIES ADVISORY, LTD. SOLE SHARE HOLDER indirect 2004-11-01
INTEGRATED FINANCIAL MANAGEMENT INC SOLE SHAREHOLDER OF UCFA direct 2004-11-01
HOTCHKISS ASSOCIATES LLC INDIRECT OWNER OF HOTCHKISS ASSOCIATES, LLC indirect 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. OWNER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS SOLE SHAREHOLDER OF UCFA direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SOLE SHAREHOLDER OF UCIA direct 2005-05-01
UNITED CAPITAL INVESTMENT ADVISERS, INC OWNER direct 2005-05-01
PFE ADVISORS,INC. CORPORATION direct 2004-05-01
PFE ADVISORS, INC. SOLE SHAREHOLDER direct 2007-08-01
DURAN, JOSEPH, JOHN DIRECTOR, CHIEF EXECUTIVE OFFICER 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL INVESTMENT ADVISERS, INC PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL INVESTMENT ADVISERS, INC SHAREHOLDER OF UCFP indirect 2005-04-01
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER direct 2005-05-01
PFE ADVISORS, INC. DIRECTOR, CHIEF EXECUTIVE OFFICER direct 2007-08-01
INTEGRATED FINANCIAL MANAGEMENT INC CEO, DIRECTOR, PORTFOLIO MANAGER direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2009-02-01
CENTURION HINDS INVESTMENT MANAGEMENT CORP DIRECTOR direct 1999-12-01 2002-01-17
CENTURION CAPITAL MANAGEMENT CORP DIRECTOR/PRESIDENT direct 1999-06-01 2002-11-08
FINANCIAL SYNERGIES ADVISORY, LTD. CHIEF EXECUTIVE OFFICER indirect 2005-02-01 2005-06-21
UNITED CAPITAL INVESTMENT ADVISERS, INC DIRECTOR, CEO indirect 2005-02-01 2006-01-27
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CEO indirect 2005-02-01 2006-02-09
PFE ADVISORS,INC. DIRECTOR, CEO/PRESIDENT direct 2007-08-01 2007-08-23
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR direct 2004-11-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, INC. SHAREHOLDER OF UCFP indirect 2005-04-01 2007-08-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2010-03-15
PFE ADVISORS, INC. DIRECTOR, CEO direct 2007-08-01 2016-03-30
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER direct 2004-11-01 2017-03-30
ROTH, GARY, LAWRENCE DIRECTOR, CHIEF BUSINESS OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEGRATED FINANCIAL MANAGEMENT INC SR VP, CFO, DIRECTOR direct 2008-08-01
HOTCHKISS ASSOCIATES LLC CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER direct 2006-01-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF BUSINESS OFFICER direct 2017-01-01
UNITED CAPITAL INVESTMENT ADVISERS, INC CHIEF OPERATING OFFICER direct 2006-01-01
PFE ADVISORS, INC. DIRECTOR, CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, COO/CFO direct 2007-08-01
PFE ADVISORS, INC. DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER direct 2016-02-01
PFE ADVISORS, INC. CHIEF BUSINESS OFFICER direct 2017-01-01
HERMAN, MICHAEL, ANSON CHIEF COMPLIANCE OFFICER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOTCHKISS ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2009-02-01
UNITED CAPITAL FINANCIAL ADVISERS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT direct 2008-10-01
STRATEGIC WEALTH ADVISORS GROUP DIRECTOR OF SALES PRACTICES direct 2006-05-01
STRATEGIC WEALTH ADVISORS GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2007-06-01
PFE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2008-10-01
CAPELLE, MICHAEL, JOHN DIRECTOR, CHIEF PLATFORM OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER direct 2004-11-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER direct 2014-09-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER direct 2016-02-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC DIRECTOR, CHIEF PLATFORM OFFICER direct 2017-01-01
HALLMAN, DAVID, LAMAR SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER direct 2013-01-01
CREEKSIDE INVESTMENT MANAGEMENT INC FIRST VICE PRESIDENT direct 1993-09-01 2003-01-06
UNITED CAPITAL FINANCIAL ADVISERS, LLC SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER direct 2013-01-01 2017-03-30
FROJEN, JON, COLIN CHIEF FINANCIAL OFFICER AND TREASURER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2016-01-01
PFE ADVISORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2016-01-01
BECK, KRISTINA, CHEH CHIEF LEGAL OFFICER & CORPORATE SECRETARY 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC GENERAL COUNSEL AND CORPORATE SECREARY direct 2015-09-01
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF LEGAL OFFICER & CORPORATE SECRETARY direct 2017-01-01
PFE ADVISORS, INC. GENERAL COUNSEL AND CORPORATE SECREARY direct 2015-09-01
PFE ADVISORS, INC. CHIEF LEGAL OFFICER & CORPORATE SECRETARY direct 2017-01-01
CITYVIEW VENTURE PARTNERS LLC GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER direct 2011-03-01
Bernal, Jorge, A CHIEF OPERATING OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UNITED CAPITAL FINANCIAL ADVISERS, LLC CHIEF OPERATING OFFICER direct 2016-07-01

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