GREAT LAKES ADVISORS, LLC

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Great Lakes Advisors is based out of Chicago. Great Lakes Advisors is a large advisory firm with 1725 clients and discretionary assets under management (AUM) of $6,781,816,965 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $4,548,259,000 in managed 13F securities and a top 10 holdings concentration of 14.15%. Great Lakes Advisors's largest holding is Alphabet Inc. Class C with shares held of 58,160. Great Lakes Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 80 13F filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $4.554 Billion
  • Prior Market Value $4.589 Billion
  • New Purchases65 stocks
  • Additional Purchases220 stocks
  • Sold out of51 stocks
  • Reduced holdings in235 stocks
  • Top 10 Holdings % 14.13 %
  • Turnover % [1]:21.48%
  • Turnover Alt % [2]: 10.49 %
  • Time Held Top20:7.05 quarters
  • Time Held Top10:4.30 quarters
  • Time Held All:14.30 quarters

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

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

Portfolio Performance

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

Performance for Q3 2019: 12.74%
Performance Last 4 Quarters: 10.28%
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/A (Subscription required)
  • 2018-09-30 - 13F-HR/A (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/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR/A (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
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  • 2010-12-31 - 13F-HR (Subscription required)
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  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR/A (Subscription required)
  • 2003-03-31 - 13F-HR/A (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR/A (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

GREAT LAKES ADVISORS, LLC
231 S. LASALLE STREET 4TH FLOOR
CHICAGO IL    60604
Country: United States

Business Phone: 312-431-1700
Fax: 312-846-9460
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 68
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 0
Total Number of Clients: 1725
Amount of client funds and securities by related persons: 64,933,900
Total Number of clients from related persons: 918
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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GREAT LAKES ADVISORS, LLC

ownership team - last updated 2019-08-05
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
WHAMCO HOLDING COMPANY CORPORATE PARENT 11/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CORPORATE PARENT direct 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT indirect 2009-02-01
GETZ, BERT, ATWATER MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS, PATRICK MANAGER CHAIRMAN 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
PAULUS, THOMAS, MARTIN CHIEF FINANCIAL OFFICER 03/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2007-03-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF FINANCIAL OFFICER direct 2007-04-01
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER, MANAGER direct 2010-09-01
ABN AMRO FINANCIAL SERVICES, INC. CONTROLLER direct 2002-01-01 2007-03-28
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01 2011-03-31
HEITMANN, SCOTT, KEITH MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA, FRIEDMAN MANAGER 10/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
KILEY, THOMAS, REGAN MANAGER & CHIEF EXECUTIVE OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/VICE-PRESIDENT/SECRETARY direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2011-07-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER direct 2011-07-01
CALKINS, EDWARD, JOSEPH MANAGER & SR. MANAGING DIRECTOR 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/PRESIDENT direct 1990-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/PRESIDENT/TREASURER direct 1990-05-01
GREAT LAKES ADVISORS, LLC MANAGER & SR. MANAGING DIRECTOR direct 2011-07-01
SCHLINDWEIN, TIMOTHY, ALLEN MANAGER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL; CHIEF COMPLIANCE OFFICER direct 1995-06-01
RETIREMENT ADVISORS OF AMERICA INC INV COMM CHAIRMAN & DIRECTOR direct 1995-08-01
GREAT LAKES ADVISORS HOLDINGS, LLC MANAGER direct 2011-07-01
RETIREMENT ADVISORS OF AMERICA INC DIRECTOR direct 1995-08-01 2002-03-20
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL direct 1995-06-01 2005-03-31
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL;CCO direct 1995-06-01 2006-03-30
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01 2010-03-01
JAMES, CROFT, W MANAGER 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2012-07-01
TURNER, THOMAS, JASON MANAGING DIRECTOR 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
CARLISLE, PAUL, CLAYTON MANAGER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
LENHOFF, GARY, ALAN MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
BRICOLEUR CAPITAL MANAGEMENT, LLC MEMBER; MEMBER OF MANAGEMENT BOARD; PORTFOLIO MANAGER direct 2000-12-01
QUIGLEY, JON, EDWARD CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVANCED INVESTMENT PARTNERS, LLC PORTFOLIO MANAGER direct 2000-01-01
ADVANCED INVESTMENT PARTNERS, LLC DIRECTOR direct 2007-12-01
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY direct 2013-10-01
ADVANCED INVESTMENT PARTNERS, LLC VICE PRESIDENT/SECRETARY/MANAGER direct 2009-04-01
KAMRADT, MICHAEL, PAUL MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCDONNELL INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFCR & CLASS A MEMBER direct 2001-08-01 2010-11-17
MCKINNEY, SUZET, MEYLIEU MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
Roldan, Celena MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
WINTRUST FINANCIAL CORPORATION DIRECT OWNER WHAMCO HOLDING COMPANY 11/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2008-11-01
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2005-04-22
WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

GREAT LAKES ADVISORS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
WHAMCO HOLDING COMPANY CORPORATE PARENT 11/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CORPORATE PARENT direct 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT indirect 2009-02-01
GETZ, BERT, ATWATER MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS, PATRICK MANAGER CHAIRMAN 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
PAULUS, THOMAS, MARTIN CHIEF FINANCIAL OFFICER 03/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2007-03-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF FINANCIAL OFFICER direct 2007-04-01
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER, MANAGER direct 2010-09-01
ABN AMRO FINANCIAL SERVICES, INC. CONTROLLER direct 2002-01-01 2007-03-28
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01 2011-03-31
HEITMANN, SCOTT, KEITH MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA, FRIEDMAN MANAGER 10/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
KILEY, THOMAS, REGAN MANAGER & CHIEF EXECUTIVE OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/VICE-PRESIDENT/SECRETARY direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2011-07-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER direct 2011-07-01
CALKINS, EDWARD, JOSEPH MANAGER & SR. MANAGING DIRECTOR 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/PRESIDENT direct 1990-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/PRESIDENT/TREASURER direct 1990-05-01
GREAT LAKES ADVISORS, LLC MANAGER & SR. MANAGING DIRECTOR direct 2011-07-01
SCHLINDWEIN, TIMOTHY, ALLEN MANAGER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL; CHIEF COMPLIANCE OFFICER direct 1995-06-01
RETIREMENT ADVISORS OF AMERICA INC INV COMM CHAIRMAN & DIRECTOR direct 1995-08-01
GREAT LAKES ADVISORS HOLDINGS, LLC MANAGER direct 2011-07-01
RETIREMENT ADVISORS OF AMERICA INC DIRECTOR direct 1995-08-01 2002-03-20
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL direct 1995-06-01 2005-03-31
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL;CCO direct 1995-06-01 2006-03-30
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01 2010-03-01
JAMES, CROFT, W MANAGER 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2012-07-01
TURNER, THOMAS, JASON MANAGING DIRECTOR 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
CARLISLE, PAUL, CLAYTON MANAGER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
LENHOFF, GARY, ALAN MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
BRICOLEUR CAPITAL MANAGEMENT, LLC MEMBER; MEMBER OF MANAGEMENT BOARD; PORTFOLIO MANAGER direct 2000-12-01
QUIGLEY, JON, EDWARD CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVANCED INVESTMENT PARTNERS, LLC PORTFOLIO MANAGER direct 2000-01-01
ADVANCED INVESTMENT PARTNERS, LLC DIRECTOR direct 2007-12-01
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY direct 2013-10-01
ADVANCED INVESTMENT PARTNERS, LLC VICE PRESIDENT/SECRETARY/MANAGER direct 2009-04-01
KAMRADT, MICHAEL, PAUL MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCDONNELL INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFCR & CLASS A MEMBER direct 2001-08-01 2010-11-17
MCKINNEY, SUZET, MEYLIEU MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
Roldan, Celena MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGER direct 2019-01-01
WINTRUST INVESTMENTS, LLC DIRECTOR direct 2019-01-01
WINTRUST FINANCIAL CORPORATION DIRECT OWNER WHAMCO HOLDING COMPANY 11/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2008-11-01
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2005-04-22
WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

GREAT LAKES ADVISORS, LLC

ownership team - last updated 2018-05-21
Name Title Start Date Direct/Indirect % Ownership
SILVER, ELLIOTT, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS HOLDINGS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER direct 2005-03-01
WAYNE HUMMER MANAGEMENT CO COMPLIANCE DIRECTOR direct 1994-10-01 2004-03-31
WAYNE HUMMER INVESTMENTS L.L.C. CCO, SROP direct 2005-03-01 2006-03-28
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF COMPLIANCE OFFICER, SROP direct 2005-03-01 2009-03-05
WHAMCO HOLDING COMPANY CORPORATE PARENT 11/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CORPORATE PARENT direct 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CORPORATE PARENT, MEMBER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC CORPORATE PARENT indirect 2009-02-01
GETZ, BERT, ATWATER MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2005-01-01
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2002-07-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2008-11-01
GLOBE FINANCIAL CORPORATION VP direct 2001-02-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ZIDAR, THOMAS, PATRICK MANAGER CHAIRMAN 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. CHAIRMAN & CEO direct 2006-09-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
GREAT LAKES ADVISORS, LLC MANAGER CHAIRMAN direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC CHAIRMAN, MANAGER direct 2009-02-01
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-04-08
ABN AMRO FINANCIAL SERVICES, INC. CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2002-01-01 2005-09-28
WAYNE HUMMER ASSET MANAGEMENT COMPANY EXECUTIVE VICE PRESIDENT direct 2006-06-01 2006-07-31
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN direct 2006-06-01 2006-08-29
WAYNE HUMMER ASSET MANAGEMENT COMPANY CHAIRMAN & CEO direct 2006-09-01 2008-10-27
AIP ACQUISITION COMPANY, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER direct 2009-02-01 2009-03-05
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER CHAIRMAN & CEO direct 2008-11-01 2011-04-04
PAULUS, THOMAS, MARTIN CHIEF FINANCIAL OFFICER 03/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2007-03-01
WAYNE HUMMER INVESTMENTS L.L.C. CHIEF FINANCIAL OFFICER direct 2007-04-01
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER, MANAGER direct 2010-09-01
ABN AMRO FINANCIAL SERVICES, INC. CONTROLLER direct 2002-01-01 2007-03-28
ADVANCED INVESTMENT PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01 2011-03-31
HEITMANN, SCOTT, KEITH MANAGER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2008-07-01
WINTRUST CAPITAL MANAGEMENT, LLC MANAGER direct 2008-11-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2008-11-01
ABN AMRO FINANCIAL SERVICES, INC. DIRECTOR direct 1993-01-01 2003-07-25
WAYNE HUMMER ASSET MANAGEMENT COMPANY DIRECTOR direct 2008-07-01 2008-10-27
AIP ACQUISITION COMPANY, LLC MANAGER indirect 2008-11-01 2010-03-31
GLABE, MARLA, FRIEDMAN MANAGER 10/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLSTATE ASSURANCE COMPANY DIRECTOR; SENIOR VICE PRESIDENT direct 2002-08-01
ALLSTATE ASSURANCE COMPANY SENIOR VICE PRESIDENT direct 2004-09-01
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2009-09-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2009-10-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER indirect 2009-10-01
KILEY, THOMAS, REGAN MANAGER & CHIEF EXECUTIVE OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/VICE-PRESIDENT/SECRETARY direct 2006-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR direct 2006-05-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2011-07-01
ADVANCED INVESTMENT PARTNERS, LLC MANAGER direct 2011-07-01
CALKINS, EDWARD, JOSEPH MANAGER & SR. MANAGING DIRECTOR 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/PRESIDENT direct 1990-05-01
GREAT LAKES ADVISORS, INC. SHAREHOLDER/MANAGING DIRECTOR/PRESIDENT/TREASURER direct 1990-05-01
GREAT LAKES ADVISORS, LLC MANAGER & SR. MANAGING DIRECTOR direct 2011-07-01
SCHLINDWEIN, TIMOTHY, ALLEN MANAGER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL; CHIEF COMPLIANCE OFFICER direct 1995-06-01
RETIREMENT ADVISORS OF AMERICA INC INV COMM CHAIRMAN & DIRECTOR direct 1995-08-01
GREAT LAKES ADVISORS HOLDINGS, LLC MANAGER direct 2011-07-01
RETIREMENT ADVISORS OF AMERICA INC DIRECTOR direct 1995-08-01 2002-03-20
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL direct 1995-06-01 2005-03-31
SCHLINDWEIN ASSOCIATES LLC MANAGING PRINCIPAL;CCO direct 1995-06-01 2006-03-30
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01 2010-03-01
JAMES, CROFT, W MANAGER 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, INC. DIRECTOR direct 2005-12-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2012-07-01
TURNER, THOMAS, JASON MANAGING DIRECTOR 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
CARLISLE, PAUL, CLAYTON MANAGER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. DIRECTOR direct 2014-01-01
GREAT LAKES ADVISORS, LLC MANAGER direct 2014-03-01
LENHOFF, GARY, ALAN MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
GREAT LAKES ADVISORS, LLC MANAGER & CHIEF INVESTMENT OFFICER - FUNDAMENTAL EQUITIES direct 2014-10-01
BRICOLEUR CAPITAL MANAGEMENT, LLC MEMBER; MEMBER OF MANAGEMENT BOARD; PORTFOLIO MANAGER direct 2000-12-01
QUIGLEY, JON, EDWARD CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVANCED INVESTMENT PARTNERS, LLC PORTFOLIO MANAGER direct 2000-01-01
ADVANCED INVESTMENT PARTNERS, LLC DIRECTOR direct 2007-12-01
GREAT LAKES ADVISORS, LLC CHIEF INVESTMENT OFFICER - DISCIPLINED EQUITY direct 2013-10-01
ADVANCED INVESTMENT PARTNERS, LLC VICE PRESIDENT/SECRETARY/MANAGER direct 2009-04-01
WINTRUST FINANCIAL CORPORATION DIRECT OWNER WHAMCO HOLDING COMPANY 11/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01
WINTRUST CAPITAL MANAGEMENT, LLC DIRECT OWNER indirect 2008-11-01
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2008-11-01
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2005-04-22
WAYNE HUMMER MANAGEMENT CO CORPORATE PARENT direct 2002-02-01 2008-10-27
AIP ACQUISITION COMPANY, LLC DIRECT OWNER indirect 2009-02-01 2009-03-03
WAYNE HUMMER INVESTMENTS L.L.C. SOLE OWNER indirect 1994-09-01 2016-11-14

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GLA PARTNERS L.P. United States 805-3501827808 Hedge Fund 20,015,301 1,000,000

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