ICONIQ CAPITAL, LLC

https://www.linkedin.com/company/iconiq-capital-llc SAN FRANCISCO, CA Investment Advisor Hedge Fund How do I update this listing?

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Iconiq Capital is based out of San Francisco. Iconiq Capital is a hedge fund with 506 clients and discretionary assets under management (AUM) of $44,400,750,230 (Form ADV from 2021-03-30). Their last reported 13F filing for Q3 2021 included $17,175,739,000 in managed 13F securities and a top 10 holdings concentration of 96.98%. Iconiq Capital's largest holding is Snowflake, Inc. with shares held of 29,658,449. Iconiq Capital has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 41 13F filings

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09/30/2021

13F Activity

  • Market Value $17.176 Billion
  • Prior Market Value $15.254 Billion
  • New Purchases9 stocks
  • Additional Purchases15 stocks
  • Sold out of1 stock
  • Reduced holdings in27 stocks
  • Top 10 Holdings % 96.98 %
  • Turnover % [1]:13.70%
  • Turnover Alt % [2]: 6.14 %
  • Time Held Top20:6.80 quarters
  • Time Held Top10:6.20 quarters
  • Time Held All:11.36 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.

09/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-11-15

Performance for Q3 2021: 10.0%
Performance Last 4 Quarters: 33.3%
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

Global (ex. US) Holdings

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Source: Refinitiv

View Last Form Adv Compilation Report on Record

ICONIQ CAPITAL, LLC
Classified as Hedge Fund
394 PACIFIC AVENUE 2ND FLOOR
SAN FRANCISCO CA    94111
Country: United States

Business Phone: 415-967-7763
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 293
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 29,506,800,000
Total Number of Clients: 506
Amount of client funds and securities by related persons: 41,843,800,000
Total Number of clients from related persons: 149
Disclosures:
Data above was derived from SEC filings.

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Insider Transactions in the past year

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ICONIQ CAPITAL, LLC

ownership team - last updated 2021-03-30
Name Title Start Date Direct/Indirect % Ownership
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN, DIVESH, KANTHYLAL SOLE MEMBER ICONIQ CAPITAL GROUP GP, LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ICONIQ MANAGEMENT HOLDINGS, LP LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ FEEDER, LP LIMITED PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN FAMILY TRUST DTD 10/10/05 LIMITED PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
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BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
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BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
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ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
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J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-12-01 2002-05-14
PLANNERS FINANCIAL SERVICES, INC. BOARD MEMBER direct 1984-03-01 2002-05-24
PACIFIC CAPITAL PLANNING COMPANY OWNER direct 1997-09-01 2002-05-24
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 1998-03-01 2002-05-31
R.V. KUHNS & ASSOCIATES, INC. TREASURER indirect 1986-01-01 2002-06-25
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
KILLIAN ASSET MANAGEMENT CORP PRESIDENT direct 1987-04-01 2002-10-11
ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
ARTHURS, LESTRANGE & COMPANY INCORPORATED OUTSIDE SHAREHOLDER direct 1986-03-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
LAUREL MANAGEMENT CO LLC MEMBER direct 1995-07-01 2003-01-15
CLARK FINANCIAL SERVICES GROUP INC PRESIDENT direct 1987-01-01 2003-01-24
ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1984-01-01 2003-02-05
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) DIRECTOR OF COMPLIANCE direct 1997-03-01 2003-02-07
THE DANFORTH ASSOCIATES, INC DIRECTOR direct 1994-09-01 2003-02-14
GURUN, INC. PRESIDENT direct 1986-03-01 2003-02-27
WILLINGHAM ASSET MANAGEMENT INC PRESIDENT direct 1995-11-01 2003-03-03
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1992-07-01 2003-03-03
JULIUS BAER SECURITIES INC. DIRECTOR direct 1996-05-01 2003-03-14
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 1994-12-01 2003-03-14
THE DE BURLO GROUP,INC. SENIOR VICE PRESIDENT direct 1996-03-01 2003-03-18
THE DE BURLO GROUP,INC. PRESIDENT direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. SECRETARY direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. DIRECTOR direct 1987-10-01 2003-03-18
PERKINS, WOLF, MCDONNELL & CO. SHAREHOLDER direct 1983-03-01 2003-03-26
KEENE & ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 1994-09-01 2003-03-26
CJ CAPITAL MANAGEMENT LLC MEMBER, PRESIDENT direct 1998-08-01 2003-03-27
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A & B SHARES direct 1985-03-01 2003-03-27
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER direct 1995-01-01 2003-03-27
BUCKINGHAM CAPITAL MANAGEMENT INC DIRECTOR direct 1985-05-01 2003-03-28
ATLANTIC CAPITAL MANAGEMENT LTD CORPORATE SECRETARY direct 1992-04-01 2003-03-31
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1972-05-01 2003-03-31
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CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT direct 1997-09-01 2003-12-18
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PRIMECAP MANAGEMENT CO VICE CHAIRMAN direct 1983-09-01 2004-10-26
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GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
MAKAN, DIVESH, KANTHYLAL TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
Makan, Diksha TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC TRUSTEE indirect 2020-10-01
IPI PARTNERS, LLC TRUSTEE indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN, DIVESH, KANTHYLAL SOLE MEMBER ICONIQ CAPITAL GROUP GP, LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ICONIQ MANAGEMENT HOLDINGS, LP LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ FEEDER, LP LIMITED PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN FAMILY TRUST DTD 10/10/05 LIMITED PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
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WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
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CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT direct 1997-09-01 2003-12-18
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SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND SENIOR PORTFOLIO MANAGER direct 1996-07-01 2004-03-29
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PRIMECAP MANAGEMENT CO VICE CHAIRMAN direct 1983-09-01 2004-10-26
PRIMECAP MANAGEMENT CO PRESIDENT direct 1983-09-01 2004-10-26
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VARIABLE ANNUITY LIFE INSURANCE CO PARENT COMPANY indirect 1969-01-01 2006-03-24
SPRING CREEK INVESTMENT ADVISORS, INC. PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1994-10-01 2006-03-27
DFC FINANCIAL GROUP INC PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1983-01-01 2006-03-28
SPECTRUM CAPITAL MANAGEMENT GENERAL PARTNER/CHIEF COMPLIANCE OFFICER direct 1987-01-01 2006-03-28
HAMILTON ADVISORS INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1981-01-01 2006-03-28
OCCAM CAPITAL MANAGEMENT, LLC CEO/CCO/CFO/CLO direct 1998-07-01 2006-03-29
POPULAR SECURITIES, INC. PRESIDENT & CEO direct 1995-05-01 2006-03-30
SYSTEMATIC FINANCIAL MANAGEMENT LP CONSULTANT direct 1998-05-01 2006-03-30
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A & B SHARES direct 1983-03-01 2006-03-31
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A SHARES direct 1985-03-01 2006-03-31
BOXER LAURA JUDITH OWNER/CHIEF COMPLIANCE OFFICER direct 1986-01-01 2006-03-31
AMR INVESTMENT SERVICES, INC PRESIDENT & DIRECTOR direct 1986-11-01 2006-03-31
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CCO direct 1993-04-01 2006-03-31
DIBIASE & RUSCETTI ASSOCIATES, INC. TREASURER direct 1994-06-01 2006-03-31
DIBIASE & RUSCETTI ASSOCIATES, INC. PRESIDENT direct 1994-06-01 2006-03-31
AMR INVESTMENT SERVICES, INC VICE PRESIDENT direct 1988-08-01 2006-03-31
FAGAN ASSOCIATES INC PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1989-08-01 2006-03-31
AMR INVESTMENT SERVICES, INC VICE PRESIDENT direct 1995-05-01 2006-03-31
AMR INVESTMENT SERVICES, INC TREASURER direct 1995-05-01 2006-03-31
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR, VICE PRESIDENT direct 1994-06-01 2006-04-22
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2006-05-15
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2006-06-21
STEPHENS INC. TRUSTEE indirect 1985-01-01 2006-07-21
STEPHENS INC. SHAREHOLDER COMMON A indirect 1997-01-01 2006-07-21
STEPHENS INC. TRUSTEE indirect 1995-03-01 2006-07-21
STRAND, ATKINSON, WILLIAMS & YORK, INC. PRESIDENT AND CEO, UMPQUA HOLDINGS CORP. direct 1994-06-01 2006-10-02
STRAND, ATKINSON, WILLIAMS & YORK, INC. EVP AND CHIEF FINANCIAL OFFICER, UMPQUA HOLDINGS CORP direct 1997-11-01 2006-10-02
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2006-10-05
UVEST FINANCIAL SERVICES GROUP, INC. DIRECTOR direct 1996-03-01 2006-10-16
AMP CAPITAL REDDING INVESTORS (US) LIMITED MEMBER indirect 1998-11-01 2006-11-15
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2006-12-19
ORLEANS CAPITAL MANAGEMENT CORP DIRECT OWNER-COMMON direct 1991-11-01 2007-02-02
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1994-02-01 2007-02-02
ORLEANS CAPITAL MANAGEMENT CORP DIRECT OWNER-PREFERRED direct 1997-08-01 2007-02-02
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-01-01 2007-02-08
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/PRESIDENT/TREASURER direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/SECRETARY direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. SHAREHOLDER/CHAIRMAN EMERITUS direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. DIRECTOR direct 1991-04-01 2007-02-09
A. G. EDWARDS & SONS, INC. CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT direct 1980-06-01 2007-02-16
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1994-01-01 2007-02-27
MAXWELL NOLL INC DIRECTOR direct 1988-07-01 2007-03-01
HART REALTY ADVISERS, INC. MANAGING PARTNER--INVESTMENT TRANSACTIONS direct 1987-12-01 2007-03-02
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2007-03-09
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-02-01 2007-03-23
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1987-05-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1997-04-01 2007-03-28
THE PORTOLA GROUP INC SHAREHOLDER direct 1997-06-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-09-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY PRESIDENT, INDIVIDUAL BUSINESS direct 1998-03-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
MAKAN, DIVESH, KANTHYLAL TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
Makan, Diksha TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC TRUSTEE indirect 2020-10-01
IPI PARTNERS, LLC TRUSTEE indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ICONIQ ACCESS 66 LP United States 805-9401725145 Other Private Fund SPECIAL PURPOSE VEHICLE 12,805,985 250,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., P SERIES United States 805-9513013744 Private Equity Fund 259,226,143 242,972
ICONIQ ACCESS 61, LP United States 805-1259518915 Other Private Fund SPECIAL PURPOSE VEHICLE 51,618,979 200,000 Fund of Funds
ICONIQ ACCESS 62, LP United States 805-4914918854 Other Private Fund SPECIAL PURPOSE VEHICLE 169,554,957 100,000 Fund of Funds
ICONIQ ACCESS 64, LP United States 805-4067687275 Other Private Fund SPECIAL PURPOSE VEHICLE 26,264,064 200,000 Fund of Funds
ICQ OPPORTUNITIES FUND AJ, L.P. United States 805-5625676102 Private Equity Fund 26,049,649 10,000
ICQ OPPORTUNITIES FUND VR, L.P. United States 805-6461757966 Private Equity Fund 59,557,336 16,000
ICQ SPECIAL PURPOSE VEHICLE OC, L.P. Cayman Islands 805-9286115788 Private Equity Fund 2,534,430 2,250,199
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES H) United States 805-2608521106 Private Equity Fund 3,499,975 35,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, LP (SERIES AB) United States 805-9736181124 Private Equity Fund 171,821,474 50,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH BLOCKER SERIES United States 805-5253938872 Private Equity Fund 21,571,454 700,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH SERIES United States 805-2831408974 Private Equity Fund 38,366,373 156,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P. (SERIES DD) United States 805-1293829622 Private Equity Fund 293,247,936 110,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., EZ SERIES United States 805-3182882993 Private Equity Fund 14,016,712 170,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., FK-H SERIES United States 805-5301497225 Private Equity Fund 219,543 150,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC-B SERIES United States 805-8255526146 Private Equity Fund 13,264,358 750,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES P United States 805-4668038350 Private Equity Fund 111,057,726 250,266
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV United States 805-7014677596 Private Equity Fund 367,006,427 50,000
ICONIQ STRATEGIC PARTNERS III, L.P. Cayman Islands 805-3698984027 Private Equity Fund 5,045,148,300 10,000
BB HOLDINGS SC, L.P. United States 805-9581267329 Private Equity Fund 22,996,549 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2020, L.P. United States 805-8692899617 Private Equity Fund 264,207,206 0 Master Fund
ICQ OPPORTUNITIES FUND RB LP United States 805-3732719552 Other Private Fund SPECIAL PURPOSE VEHICLE 20,125,474 5,000
IREP OPPORTUNITIES FUND I A, LP United States 805-8606357822 Private Equity Fund 74,613,667 125,000
IREP OPPORTUNITIES FUND I B, LP United States 805-7218699898 Private Equity Fund 903,763 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES M) United States 805-5683161784 Private Equity Fund 115,700,001 2,522,811
ICONIQ ACCESS 60, LP United States 805-4574960319 Other Private Fund SPECIAL PURPOSE VEHICLE 35,672,298 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES C) United States 805-3709972678 Private Equity Fund 71,272,624 5,000,000
PRIVATE DIVERSIFIERS PORTFOLIO AIV, L.P. United States 805-8639068985 Private Equity Fund 19,792,238 0 Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2020, L.P. United States 805-8664000870 Private Equity Fund 41,961,004 0 Fund of Funds
PUBLIC EQUITY TAIL HEDGE PORTFOLIO, L.P. United States 805-6547163985 Private Equity Fund 289,842,813 50,000
VENTURE CAPITAL PORTFOLIO 2020, L.P. United States 805-7744735470 Private Equity Fund 268,998,841 0 Master Fund Fund of Funds
VENTURE CAPITAL PORTFOLIO 2021, L.P. United States 805-3879778105 Private Equity Fund 219,324,400 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND OC, L.P. United States 805-6957975601 Private Equity Fund 51,257,397 10,000
PRIVATE CREDIT PORTFOLIO 2021, LP.. United States 805-9803619124 Private Equity Fund 173,820,750 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS IV, L.P. Cayman Islands 805-3615326503 Private Equity Fund 1,460,654,887 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES TS) United States 805-9863083107 Private Equity Fund 368,608,539 20,000
ICONIQ STRATEGIC PARTNERS V-B, L.P. Cayman Islands 805-1661029653 Private Equity Fund 1,714,159,552 15,000
ICQ CPE 2018 A-1, L.P. United States 805-3402367178 Other Private Fund SPECIAL PURPOSE VEHICLE 464,516,432 100,000 Fund of Funds
TACTICAL OPPORTUNITIES PORTFOLIO AIV 2020, L.P. United States 805-2870345159 Private Equity Fund 22,259,579 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2021, L.P. United States 805-1709569242 Private Equity Fund 203,602,250 0 Master Fund Fund of Funds
PRIVATE EQUITY PORTFOLIO 2021, L.P. United States 805-4600510785 Private Equity Fund 445,026,100 0 Master Fund Fund of Funds
PRIVATE REAL RETURN PORTFOLIO 2021, L.P. United States 805-1736656600 Private Equity Fund 35,575,000 0 Fund of Funds
ICQ CPE 2019 A-2, L.P. United States 805-3167460299 Other Private Fund SPECIAL PURPOSE VEHICLE 304,385,282 500,000 Fund of Funds
REAL ASSETS PORTFOLIO 2020, L.P. United States 805-1256877239 Private Equity Fund 215,724,573 0 Master Fund
REAL ESTATE PORTFOLIO 2021, L.P. United States 805-5099495663 Private Equity Fund 276,961,250 0 Master Fund Fund of Funds
ICQ CPE I-B, L.P. United States 805-2852433921 Other Private Fund SPECIAL PURPOSE VEHICLE 68,138,994 421,299 Fund of Funds
ICQ CPE I, L.P. United States 805-8234632256 Other Private Fund SPECIAL PURPOSE VEHICLE 200,250,333 94,647 Fund of Funds
ICQ CVC 2018 B, L.P. United States 805-1932933078 Other Private Fund SPECIAL PURPOSE VEHICLE 16,259,593 50,000 Fund of Funds
ICQ HOLDINGS 1, LLC United States 805-3966571936 Other Private Fund SPECIAL PURPOSE VEHICLE 78,987,331 25,000,000 Fund of Funds
ICQ HOLDINGS 2-C, LLC United States 805-3668784460 Other Private Fund SPECIAL PURPOSE VEHICLE 385,267,254 150,000,000 Fund of Funds
ICQ HOLDINGS 3, LLC United States 805-4054601580 Other Private Fund SPECIAL PURPOSE VEHICLE 93,639,587 25,000,000 Fund of Funds
ICQ INVESTMENTS 1, L.P. United States 805-6180924990 Private Equity Fund 225,681 12,000
ICQ INVESTMENTS 11, L.P. United States 805-8409403349 Private Equity Fund 2,237,216 10,000
ICQ INVESTMENTS 9, L.P. United States 805-6315586436 Private Equity Fund 65,760,990 10,000
ICONIQ STRATEGIC PARTNERS, L.P. Cayman Islands 805-2269087813 Private Equity Fund 547,662,819 6,890
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES R-B) United States 805-5826187425 Private Equity Fund 25,415,006 75,000
ICQ CPE 2018 B, L.P. United States 805-4128298464 Other Private Fund SPECIAL PURPOSE VEHICLE 141,595,391 20,000 Fund of Funds
ICQ CPE 2018 C, L.P. United States 805-1482786421 Other Private Fund SPECIAL PURPOSE VEHICLE 41,416,089 300,000 Fund of Funds
ICQ CPE 2019 B, L.P. United States 805-7613300643 Other Private Fund SPECIAL PURPOSE VEHICLE 138,655,426 200,000 Fund of Funds
ICQ CPE 2019 C, L.P. United States 805-3748545958 Other Private Fund SPECIAL PURPOSE VEHICLE 56,031,938 250,000 Fund of Funds
ICQ BHL ECI HOLDINGS, L.P. United States 805-6332627996 Other Private Fund SPECIAL PURPOSE VEHICLE 112,998,570 30,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES QG) United States 805-8841483327 Private Equity Fund 74,239,897 15,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES QG-B) United States 805-9135494352 Private Equity Fund 77,739,895 15,000
ICONIQ STRATEGIC PARTNERS IV-B, L.P. Cayman Islands 805-3659808397 Private Equity Fund 2,412,128,548 25,000
ICQ INVESTMENTS BX, L.P. United States 805-6230402020 Private Equity Fund 3,768,226 5,000
ICQ INVESTMENTS CD, L.P. United States 805-7324454484 Other Private Fund SPECIAL PURPOSE VEHICLE 0 200,286
ICQ INVESTMENTS CX, LP United States 805-3464497885 Private Equity Fund 8,195,122 10,000
ICONIQ STRATEGIC PARTNERS III-B, L.P. Cayman Islands 805-3228563765 Private Equity Fund 5,390,161,574 25,000
CO-INVESTMENT PORTFOLIO AIV 2020, L.P. United States 805-5434507524 Private Equity Fund 8,601,562 0 Fund of Funds
GLIDE PATH SOLUTIONS AIV 2020, L.P. United States 805-3705811309 Private Equity Fund 36,135,000 0 Fund of Funds
ICONIQ ACCESS 65, LP United States 805-9441433940 Other Private Fund SPECIAL PURPOSE VEHICLE 20,435,399 24,735 Fund of Funds
ICONIQ ACCESS LXVII, L.P. United States 805-5502505741 Other Private Fund SPECIAL PURPOSE VEHICLE 2,469,211 375,000 Fund of Funds
ICONIQ ACCESS LXVIII, L.P. United States 805-2969460431 Other Private Fund SPECIAL PURPOSE VEHICLE 50,793,316 15,000,000 Fund of Funds
ICQ HOLDINGS MT, LP Cayman Islands 805-8375728928 Other Private Fund SPECIAL PURPOSE VEHICLE 25,934,785 9,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES P) United States 805-3256579289 Private Equity Fund 51,433,457 54,000
ICQ ETHOS AUS RE, L.P. United States 805-8100465919 Real Estate Fund 55,758,712 25,000 Fund of Funds
ICQ HOLDINGS 1-C, LLC United States 805-8118058296 Other Private Fund SPECIAL PURPOSE VEHICLE 501,535,351 300,000,000 Fund of Funds
ICQ INVESTMENTS WL, L.P. United States 805-3916021486 Private Equity Fund 6,624,738 9,350
ICQ OPPORTUNITIES AW LP United States 805-6117012216 Private Equity Fund 128,561,914 200,000
ICQ OPPORTUNITIES FUND 1, L.P. Cayman Islands 805-9984145142 Private Equity Fund 78,220 12,500
ICQ INVESTMENTS 26, L.P. United States 805-9946942128 Private Equity Fund 18,844,573 20,000
ICQ INVESTMENTS 4, L.P. United States 805-6059439592 Private Equity Fund 420,337 5,000
PRIVATE REAL RETURN PORTFOLIO 2020, L.P. United States 805-4670019447 Private Equity Fund 35,606,326 0 Fund of Funds
BB HOLDINGS VER, L.P. United States 805-2221966280 Private Equity Fund 169,997,888 0 Fund of Funds
ICONIQ ACCESS LXIX, L.P. United States 805-6736862205 Other Private Fund SPECIAL PURPOSE VEHICLE 247,186,162 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P. (SERIES INV2) United States 805-7519378347 Private Equity Fund 15,063,770 150,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ABB SERIES United States 805-5138178685 Private Equity Fund 107,996,231 100,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES EP1 United States 805-1221441628 Private Equity Fund 283,195,492 5,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P., SERIES EP2 United States 805-1016864315 Private Equity Fund 56,385,022 25,499
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES HZE United States 805-8731209264 Private Equity Fund 100,269,333 16,000
ICQ CVC 2019 A, L.P. United States 805-5030944635 Other Private Fund SPECIAL PURPOSE VEHICLE 107,901,479 75,000 Fund of Funds
ICQ CVC 2019 B, L.P. United States 805-2840085301 Other Private Fund SPECIAL PURPOSE VEHICLE 40,722,911 50,000 Fund of Funds
ICQ CVC 2018 A, L.P. United States 805-3338263308 Other Private Fund SPECIAL PURPOSE VEHICLE 159,779,132 50,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2020, L.P. United States 805-8360554429 Private Equity Fund 385,586,956 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RH United States 805-6773910449 Private Equity Fund 30,628,163 200,006
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV2 United States 805-6692042734 Private Equity Fund 26,215,296 249,784
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES SF United States 805-4846206302 Private Equity Fund 1,791,439,304 19,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES TME United States 805-8425006612 Private Equity Fund 34,698 12,259
ICQ INVESTMENTS 13, L.P. United States 805-4360894630 Private Equity Fund 5,678,714 12,500
ICQ INVESTMENTS 18, L.P. United States 805-3093711018 Private Equity Fund 18,032,883 10,000
ICQ INVESTMENTS 2, L.P. United States 805-5884447817 Private Equity Fund 71,908,807 12,000
ICQ INVESTMENTS 20, L.P. United States 805-1041085094 Private Equity Fund 1,405,666 50,000
ICQ INVESTMENTS 22, L.P. United States 805-3855489456 Private Equity Fund 16,809,710 2,259
ICQ INVESTMENTS 23, L.P. United States 805-1680692754 Private Equity Fund 3,493,103 18,600
ICQ INVESTMENTS EW, L.P. United States 805-1096315638 Private Equity Fund 1,385,988 100,000
ICQ INVESTMENTS GW, L.P. United States 805-1449164893 Other Private Fund SPECIAL PURPOSE VEHICLE 6,556,884 150,000
ICONIQ RESIDENTIAL PARTNERS FUND A, L.P. United States 805-4849547435 Real Estate Fund 207,802,646 10,000
ICONIQ STRATEGIC PARTNERS-B, L.P. United States 805-6054999926 Private Equity Fund 133,639,231 15,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES G-B) United States 805-5062664146 Private Equity Fund 360,587 10,000,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., GF SERIES United States 805-3930967473 Private Equity Fund 11,704,084 70,000
ICQ HOLDINGS KI, LLC Cayman Islands 805-7384168634 Other Private Fund SPECIAL PURPOSE VEHICLE 119,067,865 50,000,000 Fund of Funds
ICONIQ DC FUND I FEEDER, L.P. United States 805-9214565390 Other Private Fund SPECIAL PURPOSE VEHICLE 178,665,766 5,000 Fund of Funds
ICONIQ DC FUND I FEEDER (TE), L.P. United States 805-5977818532 Other Private Fund SPECIAL PURPOSE VEHICLE 46,057,892 25,000 Fund of Funds
ICONIQ RESIDENTIAL PARTNERS FUND B, L.P. United States 805-6385587883 Real Estate Fund 79,969,566 15,000
ICONIQ RESIDENTIAL PARTNERS FUND C, L.P. United States 805-9836580310 Real Estate Fund 294,232,327 50,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES F) United States 805-6503567544 Private Equity Fund 1,207,953 12,500
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES FK-G) United States 805-5312668028 Private Equity Fund 242,489 170,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES G) United States 805-1315396269 Private Equity Fund 2,389,862 200,000
ICQ INVESTMENTS AS, L.P. United States 805-3029359392 Private Equity Fund 12,204,480 10,000
ICQ INVESTMENTS MMB, L.P. United States 805-7865832946 Private Equity Fund 18,831,797 5,000
TACTICAL OPPORTUNITIES PORTFOLIO 2020, L.P. United States 805-5198216524 Private Equity Fund 1,043,908,932 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INT SERIES United States 805-2090516352 Private Equity Fund 7,121,478 68,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV SERIES United States 805-4368107606 Private Equity Fund 11,389,164 82,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC SERIES United States 805-9040261218 Private Equity Fund 35,945,957 150,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. (SERIES PS) United States 805-2454726947 Private Equity Fund 6,550,855 25,000
ICONIQ STRATEGIC PARTNERS V, L.P. Cayman Islands 805-5600088903 Private Equity Fund 1,134,074,280 12,500
ICQ CPE 2018 A-2, L.P. United States 805-9191955194 Other Private Fund SPECIAL PURPOSE VEHICLE 235,577,449 500,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INV3 SERIES United States 805-9145653458 Private Equity Fund 8,369,513 80,264
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., NS SERIES United States 805-1673242919 Private Equity Fund 19,669,178 127,396
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST SERIES United States 805-3192512110 Private Equity Fund 110,468,052 127,266
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., ST2 SERIES United States 805-1881080362 Private Equity Fund 45,042,209 100,000
ICONIQ STRATEGIC PARTNERS II, L.P. Cayman Islands 805-5367337264 Private Equity Fund 2,692,718,435 12,500
ICONIQ STRATEGIC PARTNERS II-B, L.P. Cayman Islands 805-9419123160 Private Equity Fund 2,099,099,718 15,000
ICQ OPPORTUNITIES FUND 3, L.P. United States 805-8409427963 Private Equity Fund 28,038,719 5,000
ICQ OPPORTUNITIES FUND PD, L.P. United States 805-9085669455 Private Equity Fund 33,252,453 10,000
ICQ INVESTMENTS ZY, LP United States 805-7554843916 Private Equity Fund 22,086,433 18,000
ICQ OPPORTUNITIES FUND 2, L.P. Cayman Islands 805-6681535263 Private Equity Fund 198,855 100,000
PRIVATE EQUITY PORTFOLIO 2020, L.P. United States 805-3387456846 Private Equity Fund 497,736,083 0 Master Fund Fund of Funds
BB HOLDINGS OR, L.P. United States 805-2276925072 Private Equity Fund 22,750,000 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2021, L.P. United States 805-9240812916 Private Equity Fund 52,770,000 0 Fund of Funds
REAL ASSETS PORTFOLIO 2021, L.P. United States 805-3194609765 Private Equity Fund 180,830,750 0 Master Fund Fund of Funds
REAL ESTATE PORTFOLIO 2020, L.P. United States 805-4127514145 Private Equity Fund 343,995,936 0 Master Fund
ICQ HOLDINGS 4, LLC United States 805-4988291665 Other Private Fund SPECIAL PURPOSE VEHICLE 32,276,162 10,000,000 Fund of Funds
ICQ INVESTMENTS SY, L.P. United States 805-1131582338 Private Equity Fund 5,339,649 25,000
CO-INVESTMENT PORTFOLIO 2021, L.P. United States 805-8045339678 Private Equity Fund 367,839,500 0 Master Fund Fund of Funds
ICONIQ ACCESS 63, LP United States 805-7065752593 Other Private Fund SPECIAL PURPOSE VEHICLE 92,988,810 150,000 Fund of Funds
ICONIQ ACCESS 27, LP United States 805-7367552408 Other Private Fund SPECIAL PURPOSE VEHICLE 10,695,351 150,000 Fund of Funds
ICONIQ ACCESS 59, LP United States 805-2664210898 Other Private Fund SPECIAL PURPOSE VEHICLE 18,156,711 335,000 Fund of Funds
ICONIQ ACCESS 35, LP United States 805-6613364785 Other Private Fund SPECIAL PURPOSE VEHICLE 18,914,408 100,000 Fund of Funds
ICONIQ ACCESS 37, LP United States 805-7817343631 Other Private Fund SPECIAL PURPOSE VEHICLE 562,060,946 100,000 Fund of Funds
ICONIQ ACCESS 54, LP United States 805-1534852920 Other Private Fund SPECIAL PURPOSE VEHICLE 6,621,205 100,000 Fund of Funds
ICONIQ ACCESS 39, LP United States 805-1270270409 Other Private Fund SPECIAL PURPOSE VEHICLE 18,561,235 92,991 Fund of Funds
ICQ CPE 2019 A-1, L.P. United States 805-7200002746 Other Private Fund SPECIAL PURPOSE VEHICLE 447,958,182 100,000 Fund of Funds
ICQ HOLDINGS 5, LLC United States 805-9611306400 Other Private Fund SPECIAL PURPOSE VEHICLE 63,278,805 200,000,000 Fund of Funds
ICONIQ ACCESS 57, LP United States 805-5162124605 Other Private Fund SPECIAL PURPOSE VEHICLE 11,785,632 11,500 Fund of Funds
ICONIQ ACCESS 17, LP United States 805-1151912246 Other Private Fund SPECIAL PURPOSE VEHICLE 177,675,578 75,000 Fund of Funds
ICONIQ ACCESS 18, LP United States 805-9017433008 Other Private Fund SPECIAL PURPOSE VEHICLE 0 0 Fund of Funds
ICQ HOLDINGS 6, LLC United States 805-9779895302 Other Private Fund SPECIAL PURPOSE VEHICLE 73,188,882 200,000,000 Fund of Funds
ICONIQ ACCESS 55, LP United States 805-5849417886 Other Private Fund SPECIAL PURPOSE VEHICLE 21,749,967 100,000 Fund of Funds
ICONIQ ACCESS 22, LP United States 805-9427842796 Other Private Fund SPECIAL PURPOSE VEHICLE 13,030,773 200,000 Fund of Funds
ICONIQ ACCESS 53, LP United States 805-7325612690 Other Private Fund SPECIAL PURPOSE VEHICLE 30,219,445 100,000 Fund of Funds
ICONIQ ACCESS 58, LP United States 805-1440879864 Other Private Fund SPECIAL PURPOSE VEHICLE 10,303 0 Fund of Funds
ICONIQ ACCESS 19, LP United States 805-9371115746 Other Private Fund SPECIAL PURPOSE VEHICLE 71,318,139 75,000 Fund of Funds
ICONIQ ACCESS 56, LP United States 805-8701337657 Other Private Fund SPECIAL PURPOSE VEHICLE 11,651,245 200,000 Fund of Funds
ICONIQ ACCESS 2, LP United States 805-4721007914 Other Private Fund SPECIAL PURPOSE VEHICLE 18,729,492 500,000
EMERGING MARKETS PORTFOLIO, L.P. United States 805-8623033848 Private Equity Fund 713,442,894 41,250 Master Fund Fund of Funds
ICONIQ ACCESS 20, LP United States 805-5002561110 Other Private Fund SPECIAL PURPOSE VEHICLE 20,523,615 50,000 Fund of Funds
ICONIQ ACCESS 12, LP United States 805-4538279956 Other Private Fund SPECIAL PURPOSE VEHICLE 189,611,752 150,000 Fund of Funds
ICONIQ ACCESS 28, LP United States 805-2782762439 Other Private Fund SPECIAL PURPOSE VEHICLE 1,136,474 150,000 Fund of Funds
ICONIQ ACCESS 26, LP United States 805-2863662427 Other Private Fund SPECIAL PURPOSE VEHICLE 44,527,578 100,000 Fund of Funds
ICONIQ ACCESS 46, LP United States 805-6114617584 Other Private Fund SPECIAL PURPOSE VEHICLE 25,986,966 200,000 Fund of Funds
ICONIQ ACCESS 11, LP United States 805-4780701164 Other Private Fund SPECIAL PURPOSE VEHICLE 160,200,875 75,000 Fund of Funds
ICONIQ ACCESS 29, LP United States 805-9513777676 Other Private Fund SPECIAL PURPOSE VEHICLE 2,740,924 5,000,000 Fund of Funds
ICONIQ ACCESS 50, LP United States 805-1528418842 Other Private Fund SPECIAL PURPOSE VEHICLE 25,218,318 100,000 Fund of Funds
ICONIQ ACCESS 48, LP United States 805-8226747756 Other Private Fund SPECIAL PURPOSE VEHICLE 48,286,395 75,000 Fund of Funds
ICONIQ ACCESS 34, LP United States 805-9080097316 Other Private Fund SPECIAL PURPOSE VEHICLE 25,780,708 125,000 Fund of Funds
ICONIQ ACCESS 44, LP United States 805-3556419880 Other Private Fund SPECIAL PURPOSE VEHICLE 10,779,655 100,000 Fund of Funds
ICONIQ ACCESS 41, LP United States 805-8845125856 Other Private Fund SPECIAL PURPOSE VEHICLE 23,883,546 5,000,000 Fund of Funds
ICONIQ ACCESS 40, LP United States 805-4644056867 Other Private Fund SPECIAL PURPOSE VEHICLE 18,145,629 150,000 Fund of Funds
ICONIQ ACCESS 23, LP United States 805-1575570999 Other Private Fund SPECIAL PURPOSE VEHICLE 91,951,869 100,000 Fund of Funds
ICONIQ ACCESS 32, LP United States 805-7905004517 Other Private Fund SPECIAL PURPOSE VEHICLE 49,326,769 200,000 Fund of Funds
ICONIQ ACCESS 8 LP United States 805-4334942083 Other Private Fund SPECIAL PURPOSE VEHICLE 2,395,719 50,000 Fund of Funds
ICONIQ ACCESS 36, LP United States 805-3603180013 Other Private Fund SPECIAL PURPOSE VEHICLE 1,767,456 0 Fund of Funds
ICONIQ ACCESS 14, LP United States 805-2097429217 Other Private Fund SPECIAL PURPOSE VEHICLE 9,865,938 50,000 Fund of Funds
ICONIQ ACCESS 31, LP United States 805-1815394975 Other Private Fund SPECIAL PURPOSE VEHICLE 13,248,651 100,000 Fund of Funds
ICONIQ ACCESS 38, LP United States 805-1367690586 Other Private Fund SPECIAL PURPOSE VEHICLE 36,977,755 750,000 Fund of Funds
ICONIQ ACCESS 51, LP United States 805-7180425897 Other Private Fund SPECIAL PURPOSE VEHICLE 206,301,994 200,001 Fund of Funds
ICONIQ ACCESS 1, LP United States 805-6484743796 Other Private Fund SPECIAL PURPOSE VEHICLE 19,457,045 250,000 Fund of Funds
ICONIQ ACCESS 52, LP United States 805-3003712417 Other Private Fund SPECIAL PURPOSE VEHICLE 17,889,264 200,000 Fund of Funds
GLIDE PATH SOLUTIONS 2020, L.P. United States 805-3873764345 Private Equity Fund 1,704,122,830 0 Master Fund Fund of Funds
ICONIQ ACCESS 24, LP United States 805-1320871756 Other Private Fund SPECIAL PURPOSE VEHICLE 25,465,273 100,000 Fund of Funds
ICONIQ ACCESS 25, LP United States 805-9620864190 Other Private Fund SPECIAL PURPOSE VEHICLE 69,383,926 150,000 Fund of Funds
ICONIQ ACCESS 47, LP United States 805-9854940897 Other Private Fund SPECIAL PURPOSE VEHICLE 21,587,113 68,229 Fund of Funds
ICONIQ ACCESS 49, LP United States 805-7734250797 Other Private Fund SPECIAL PURPOSE VEHICLE 90,358,651 100,000 Fund of Funds
ICONIQ ACCESS 43, LP United States 805-5153353895 Other Private Fund SPECIAL PURPOSE VEHICLE 22,645,073 100,000 Fund of Funds
ICONIQ ACCESS 42, LP United States 805-1346603753 Other Private Fund SPECIAL PURPOSE VEHICLE 45,849,903 1,350,000 Fund of Funds
ICQ INVESTMENTS 7, L.P. United States 805-1280369386 Private Equity Fund 25,300,886 15,000
ICQ HOLDINGS AT, LLC United States 805-8279806103 Other Private Fund SPECIAL PURPOSE VEHICLE 136,817,704 35,000,000 Fund of Funds
ICQ HOLDINGS ITEURA, LLC Cayman Islands 805-1742872981 Other Private Fund SPECIAL PURPOSE VEHICLE 81,557,103 20,000,000 Fund of Funds
ICQ INVESTMENTS KF, L.P. United States 805-2078723169 Private Equity Fund 0 10,000
ICQ INVESTMENTS PG, L.P. United States 805-6019092741 Private Equity Fund 2,800,000 10,000
ICQ INVESTMENTS RS, L.P. United States 805-1683346552 Private Equity Fund 16,143,500 2,000
ICQ OPPORTUNITIES FUND NL, L.P. United States 805-6287539276 Other Private Fund SPECIAL PURPOSE VEHICLE 15,088,923 5,000
GLIDE PATH SOLUTIONS 2021, L.P. United States 805-5154339739 Private Equity Fund 852,750,000 0 Master Fund

ICONIQ CAPITAL, LLC

ownership team - last updated 2020-11-19
Name Title Start Date Direct/Indirect % Ownership
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN, DIVESH, KANTHYLAL SOLE MEMBER ICONIQ CAPITAL GROUP GP, LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ICONIQ MANAGEMENT HOLDINGS, LP LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ FEEDER, LP LIMITED PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN FAMILY TRUST DTD 10/10/05 LIMITED PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
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SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
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SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
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STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
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THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
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COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
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AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
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GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
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CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
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ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
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COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
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MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
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CHARLES SCHWAB & CO., INC. SENIOR VICE PRESIDENT - GENERAL COUNSEL direct 1997-07-01 2003-09-11
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ARTISAN PARTNERS LIMITED PARTNERSHIP LIMITED PARTNER OF SUTTER HILL PARTNERS L.P. indirect 1998-01-01 2003-11-18
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CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT direct 1997-09-01 2003-12-18
CAPITAL MANAGEMENT CONSULTING, LLC CO-PRESIDENT direct 1996-07-01 2004-01-02
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WARFIELD ASSOCIATES, INC. CORPORATE SECRETARY direct 1988-11-01 2004-01-13
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TRF INVESTMENTS INC PRESIDENT direct 1992-03-01 2004-01-20
PPS & V ASSET MANAGEMENT CONSULTANTS INC PRESIDENT direct 1991-09-01 2004-01-22
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BAXTER FINANCIAL CORPORATION SECRETARY direct 1989-04-01 2004-03-26
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SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER AND SENIOR MANAGING DIRECTOR direct 1996-07-01 2004-03-29
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND SENIOR PORTFOLIO MANAGER direct 1996-07-01 2004-03-29
ORION CAPITAL MANAGEMENT INC SECRETARY/TREASURER direct 1997-01-01 2004-03-29
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-12-01 2004-03-30
TAKAKI CLOSE & ASSOCIATES, LTD. PRESIDENT direct 1993-04-01 2004-03-30
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LAFAYETTE INVESTMENTS, INC. SECRETARY direct 1988-05-01 2004-03-30
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COMMERCE CAPITAL MARKETS, INC. CFO/SECRETARY/FINOP direct 1998-09-01 2004-03-31
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AMERICAN INVESTMENT SERVICES INC BOARD CHAIRMAN & DIRECTOR direct 1998-10-01 2004-03-31
COMMERCE CAPITAL MARKETS, INC. COMPLIANCE OFFICER direct 1998-11-01 2004-03-31
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COMMERCE CAPITAL MARKETS, INC. SENIOR VP/DIRECTOR direct 1998-03-01 2004-03-31
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FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
MAKAN, DIVESH, KANTHYLAL TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
Makan, Diksha TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC TRUSTEE indirect 2020-10-01
IPI PARTNERS, LLC TRUSTEE indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ICONIQ ACCESS 37, LP United States 805-7817343631 Other Private Fund SPECIAL PURPOSE VEHICLE 362,348,464 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS, L.P. Cayman Islands 805-2269087813 Private Equity Fund 391,972,841 6,890
ICONIQ RESIDENTIAL PARTNERS FUND A, L.P. United States 805-4849547435 Real Estate Fund 186,113,417 10,000
ICONIQ STRATEGIC PARTNERS-B, L.P. Cayman Islands 805-6054999926 Private Equity Fund 96,149,203 15,000
ICQ INVESTMENTS 4, LP United States 805-6059439592 Private Equity Fund 2,625,796 5,000
ICONIQ STRATEGIC PARTNERS III, L.P. Cayman Islands 805-3698984027 Private Equity Fund 1,522,329,531 10,000
ICQ HOLDINGS 3, LLC United States 805-4054601580 Other Private Fund SPECIAL PURPOSE VEHICLE 71,322,122 25,000,000 Fund of Funds
ICQ HOLDINGS 4, LLC United States 805-4988291665 Other Private Fund SPECIAL PURPOSE VEHICLE 24,631,433 10,000,000 Fund of Funds
IREP OPPORTUNITIES FUND I A, LP United States 805-8606357822 Private Equity Fund 174,611,995 125,000
ICQ HOLDINGS 5, LLC United States 805-9611306400 Other Private Fund SPECIAL PURPOSE VEHICLE 49,548,767 20,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., U SERIES United States 805-6354963078 Private Equity Fund 38,776,764 50,000
ICQ CVC 2018 A, L.P. United States 805-3338263308 Other Private Fund SPECIAL PURPOSE VEHICLE 118,625,734 50,000 Fund of Funds
ICQ CPE 2018 C, L.P. United States 805-1482786421 Other Private Fund SPECIAL PURPOSE VEHICLE 40,434,337 300,000 Fund of Funds
ICQ CPE 2018 A-1, L.P. United States 805-3402367178 Other Private Fund SPECIAL PURPOSE VEHICLE 455,319,170 100,000 Fund of Funds
ICONIQ ACCESS 19, LP United States 805-9371115746 Other Private Fund SPECIAL PURPOSE VEHICLE 67,074,110 50,000 Fund of Funds
ICQ HOLDINGS ITEURA, LLC Cayman Islands 805-1742872981 Other Private Fund SPECIAL PURPOSE VEHICLE 36,720,781 20,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P., P SERIES United States 805-4668038350 Private Equity Fund 77,422,852 250,266
ICQ HOLDINGS 1, LLC United States 805-3966571936 Other Private Fund SPECIAL PURPOSE VEHICLE 61,085,115 25,000,000 Fund of Funds
ICONIQ ACCESS 3, LP United States 805-5333030913 Other Private Fund SPECIAL PURPOSE VEHICLE 108,136 50,000 Fund of Funds
ICQ INVESTMENTS 1, LP United States 805-6180924990 Private Equity Fund 1,401,939 12,000
ICONIQ ACCESS 56, LP United States 805-8701337657 Other Private Fund SPECIAL PURPOSE VEHICLE 11,698,836 200,000 Fund of Funds
ICQ OPPORTUNITIES FUND PD, L.P. United States 805-9085669455 Private Equity Fund 25,202,986 10,000
ICONIQ ACCESS 2, LP United States 805-4721007914 Other Private Fund SPECIAL PURPOSE VEHICLE 21,370,364 500,000 Fund of Funds
EMERGING MARKETS PORTFOLIO LP United States 805-8623033848 Other Private Fund SPECIAL PURPOSE VEHICLE 238,671,329 10,000 Master Fund Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2020, L.P. United States 805-8692899617 Other Private Fund SPECIAL PURPOSE VEHICLE 253,871,357 10,000 Master Fund
ICONIQ ACCESS LXVII, L.P. United States 805-5502505741 Other Private Fund SPECIAL PURPOSE VEHICLE 1,778,005 375,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2020, L.P. United States 805-8360554429 Other Private Fund SPECIAL PURPOSE VEHICLE 338,494,256 10,000 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES BL United States 805-5695126127 Private Equity Fund 60,033 100,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV SERIES United States 805-4368107606 Private Equity Fund 10,248,818 82,000
ICQ CS MAIN FUND, L.P. Cayman Islands 805-9066845482 Private Equity Fund 65,304,972 75,002
ICQ INVESTMENTS 11, LP United States 805-8409403349 Private Equity Fund 2,237,216 10,000
ICQ HOLDINGS KI, LLC Cayman Islands 805-7384168634 Other Private Fund SPECIAL PURPOSE VEHICLE 36,440,265 20,000,000 Fund of Funds
ICONIQ ACCESS LXVIII, L.P. United States 805-2969460431 Other Private Fund SPECIAL PURPOSE VEHICLE 26,056,927 15,000,000 Fund of Funds
ICONIQ ACCESS LXIX, L.P. United States 805-6736862205 Other Private Fund SPECIAL PURPOSE VEHICLE 168,580,161 100,000 Fund of Funds
ICQ INVESTMENTS 21, LP United States 805-5520338788 Private Equity Fund 0 2,000,000
ICONIQ ACCESS 58, LP United States 805-1440879864 Other Private Fund SPECIAL PURPOSE VEHICLE 75,006,069 95,420 Fund of Funds
ICQ INVESTMENTS 2, LP United States 805-5884447817 Private Equity Fund 68,840,457 12,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., NS SERIES United States 805-1673242919 Private Equity Fund 19,628,648 127,396
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INT SERIES United States 805-2090516352 Private Equity Fund 6,393,985 68,000
ICQ INVESTMENTS 26, LP United States 805-9946942128 Private Equity Fund 5,426,964 20,000
ICONIQ ACCESS 26, LP United States 805-2863662427 Other Private Fund SPECIAL PURPOSE VEHICLE 40,901,778 100,000 Fund of Funds
ICONIQ ACCESS 46, LP United States 805-6114617584 Other Private Fund SPECIAL PURPOSE VEHICLE 18,823,307 200,000 Fund of Funds
ICQ INVESTMENTS 16, LP United States 805-2720374467 Private Equity Fund 0 2,500
ICQ INVESTMENTS 19, LP United States 805-7948175410 Private Equity Fund 0 10,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. (SERIES RV2) United States 805-6692042734 Private Equity Fund 20,287,058 24,999,784
ICONIQ ACCESS 11, LP United States 805-4780701164 Other Private Fund SPECIAL PURPOSE VEHICLE 135,853,884 75,000 Fund of Funds
ICQ INVESTMENTS 22, LP United States 805-3855489456 Private Equity Fund 3,996,248 2,259
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES PS United States 805-2454726947 Private Equity Fund 0 25,000
ICONIQ ACCESS 62, LP United States 805-4914918854 Other Private Fund SPECIAL PURPOSE VEHICLE 162,353,167 100,000 Fund of Funds
ICONIQ ACCESS 61, LP United States 805-1259518915 Other Private Fund SPECIAL PURPOSE VEHICLE 45,303,557 200,000 Fund of Funds
ICONIQ ACCESS 28, LP United States 805-2782762439 Other Private Fund SPECIAL PURPOSE VEHICLE 9,158,403 150,000 Fund of Funds
ICQ CVC 2018 B, L.P. United States 805-1932933078 Other Private Fund SPECIAL PURPOSE VEHICLE 13,032,910 50,000 Fund of Funds
ICONIQ ACCESS 55, LP United States 805-5849417886 Other Private Fund SPECIAL PURPOSE VEHICLE 19,475,641 100,000 Fund of Funds
ICONIQ ACCESS 22, LP United States 805-9427842796 Other Private Fund SPECIAL PURPOSE VEHICLE 9,792,951 200,000 Fund of Funds
ICQ INVESTMENTS 9, LP United States 805-6315586436 Private Equity Fund 15,635,679 10,000
ICONIQ DC FUND I FEEDER, L.P. United States 805-9214565390 Other Private Fund SPECIAL PURPOSE VEHICLE 159,156,227 5,000 Fund of Funds
ICONIQ ACCESS 53, LP United States 805-7325612690 Other Private Fund SPECIAL PURPOSE VEHICLE 21,629,350 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., EZ SERIES United States 805-3182882993 Private Equity Fund 21,045,656 170,000
ICQ INVESTMENTS EW, LP United States 805-1096315638 Private Equity Fund 1,385,988 100,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AX SERIES United States 805-2089686069 Private Equity Fund 0 150,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., DD SERIES United States 805-1293829622 Private Equity Fund 139,245,693 110,000
ICQ CPE I-B, L.P. United States 805-2852433921 Other Private Fund SPECIAL PURPOSE VEHICLE 73,159,043 421,299 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH BLOCKER SERIES United States 805-5253938872 Private Equity Fund 15,388,685 700,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC-B SERIES United States 805-8255526146 Private Equity Fund 8,225,394 750,000
ICQ OPPORTUNITIES FUND AJ, L.P. United States 805-5625676102 Private Equity Fund 25,900,492 10,000
ICONIQ STRATEGIC PARTNERS II-B, L.P. Cayman Islands 805-9419123160 Private Equity Fund 1,529,549,771 15,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST SERIES United States 805-3192512110 Private Equity Fund 71,081,097 127,266
ICONIQ STRATEGIC PARTNERS IVB, L.P. United States 805-3659808397 Private Equity Fund 1,493,798,945 25,000
ICONIQ STRATEGIC PARTNERS COINVEST, L.P. SERIES PS2 United States 805-9296949563 Private Equity Fund 0 13,000
ICQ HOLDINGS 6, LLC United States 805-9779895302 Other Private Fund SPECIAL PURPOSE VEHICLE 57,913,193 20,000,000 Fund of Funds
ICQ OPPORTUNITIES AW, LP United States 805-6117012216 Private Equity Fund 113,437,331 200,000
ICQ CPE 2019 A-2, L.P. United States 805-3167460299 Other Private Fund SPECIAL PURPOSE VEHICLE 272,137,796 500,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS COINVEST, L.P. SERIES DS United States 805-6840104597 Private Equity Fund 17,603,775 55,250
ICQ HOLDINGS AT, LLC United States 805-8279806103 Other Private Fund SPECIAL PURPOSE VEHICLE 73,822,068 35,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH SERIES United States 805-2831408974 Private Equity Fund 27,415,655 156,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ABB SERIES United States 805-5138178685 Private Equity Fund 25,275,665 100,000
ICONIQ DC FUND I FEEDER (TE), L.P. United States 805-5977818532 Other Private Fund SPECIAL PURPOSE VEHICLE 38,248,675 25,000 Fund of Funds
IREP OPPORTUNITIES FUND I B, LP United States 805-7218699898 Private Equity Fund 2,059,492 10,000
ICONIQ STRATEGIC PARTNERS IV, L.P. United States 805-3615326503 Private Equity Fund 908,588,610 10,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES FK-G United States 805-5312668028 Private Equity Fund 1,028,260 170,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., ST2 SERIES United States 805-1881080362 Private Equity Fund 28,968,742 100,000
ICONIQ ACCESS 54, LP United States 805-1534852920 Other Private Fund SPECIAL PURPOSE VEHICLE 6,454,939 100,000 Fund of Funds
ICONIQ ACCESS 39, LP United States 805-1270270409 Other Private Fund SPECIAL PURPOSE VEHICLE 17,265,711 92,991 Fund of Funds
ICQ HOLDINGS 2-C, LLC United States 805-3668784460 Other Private Fund SPECIAL PURPOSE VEHICLE 231,999,932 150,000,000 Fund of Funds
ICONIQ ACCESS 57, LP United States 805-5162124605 Other Private Fund SPECIAL PURPOSE VEHICLE 16,213,311 11,500 Fund of Funds
ICQ CPE 2019 A-1, L.P. United States 805-7200002746 Other Private Fund SPECIAL PURPOSE VEHICLE 414,842,486 100,000 Fund of Funds
ICQ CPE 2019 B, L.P. United States 805-7613300643 Other Private Fund SPECIAL PURPOSE VEHICLE 123,933,816 200,000 Fund of Funds
ICQ CVC 2019 A, L.P. United States 805-5030944635 Other Private Fund SPECIAL PURPOSE VEHICLE 110,444,279 75,000 Fund of Funds
ICONIQ ACCESS 17, LP United States 805-1151912246 Other Private Fund SPECIAL PURPOSE VEHICLE 80,153,155 50,000 Fund of Funds
ICONIQ ACCESS 18, LP United States 805-9017433008 Other Private Fund SPECIAL PURPOSE VEHICLE 23,498 50,000 Fund of Funds
ICONIQ ACCESS 15, LP United States 805-4319384972 Other Private Fund SPECIAL PURPOSE VEHICLE 32,250 100,000 Fund of Funds
ICONIQ ACCESS 16, LP United States 805-8777298120 Other Private Fund SPECIAL PURPOSE VEHICLE 33,157 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES G-B United States 805-5062664146 Private Equity Fund 0 10,000,000
ICONIQ ACCESS 60, LP United States 805-4574960319 Other Private Fund SPECIAL PURPOSE VEHICLE 31,866,863 100,000 Fund of Funds
ICONIQ ACCESS 20, LP United States 805-5002561110 Other Private Fund SPECIAL PURPOSE VEHICLE 26,898,709 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AD2 SERIES United States 805-5094294051 Private Equity Fund 152,001,522 250,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV2 SERIES United States 805-7519378347 Private Equity Fund 15,061,710 150,000
ICQ OPPORTUNITIES FUND VR, L.P. United States 805-6461757966 Private Equity Fund 38,834,553 16,000
REAL ESTATE PORTFOLIO 2020, L.P. United States 805-4127514145 Other Private Fund SPECIAL PURPOSE VEHICLE 313,812,603 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., RH SERIES United States 805-6773910449 Private Equity Fund 24,660,981 200,006
ICQ OPPORTUNITIES FUND 4, L.P. United States 805-4473342473 Private Equity Fund 64,105 50,000
ICQ OPPORTUNITIES FUND MYT, L.P. United States 805-4033526631 Private Equity Fund 349,662 50,000
ICQ INVESTMENTS 20, LP United States 805-1041085094 Private Equity Fund 1,405,666 50,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AD SERIES United States 805-4749750867 Private Equity Fund 68,938,593 150,000
ICONIQ ACCESS 12, LP United States 805-4538279956 Other Private Fund SPECIAL PURPOSE VEHICLE 172,689,398 150,000 Fund of Funds
ICQ BHL ECI HOLDINGS, L.P. United States 805-6332627996 Other Private Fund SPECIAL PURPOSE VEHICLE 46,139,606 30,000,000 Fund of Funds
ICQ INVESTMENTS PG, LP United States 805-6019092741 Private Equity Fund 2,800,000 10,000
ICQ INVESTMENTS BX, LP United States 805-6230402020 Private Equity Fund 3,141,562 5,000
ICQ INVESTMENTS MMB, LP United States 805-7865832946 Private Equity Fund 8,200,060 5,000
ICQ CPE 2018 A-2, L.P. United States 805-9191955194 Other Private Fund SPECIAL PURPOSE VEHICLE 231,809,807 500,000 Fund of Funds
ICQ INVESTMENTS KF, LP United States 805-2078723169 Private Equity Fund 82,614 10,000
ICONIQ ACCESS 29, LP United States 805-9513777676 Other Private Fund SPECIAL PURPOSE VEHICLE 2,870,647 5,000,000 Fund of Funds
ICONIQ ACCESS 50, LP United States 805-1528418842 Other Private Fund SPECIAL PURPOSE VEHICLE 25,259,829 100,000 Fund of Funds
ICONIQ ACCESS 48, LP United States 805-8226747756 Other Private Fund SPECIAL PURPOSE VEHICLE 35,729,959 75,000 Fund of Funds
ICQ INVESTMENTS CX, LP United States 805-3464497885 Private Equity Fund 7,358,536 10,000
ICQ INVESTMENTS 5, LP United States 805-5913025548 Private Equity Fund 0 5,000
ICONIQ ACCESS 34, LP United States 805-9080097316 Other Private Fund SPECIAL PURPOSE VEHICLE 21,944,053 125,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II, L.P. Cayman Islands 805-5367337264 Private Equity Fund 1,952,651,474 12,500
ICONIQ ACCESS 44, LP United States 805-3556419880 Other Private Fund SPECIAL PURPOSE VEHICLE 10,988,340 100,000 Fund of Funds
ICONIQ ACCESS 41, LP United States 805-8845125856 Other Private Fund SPECIAL PURPOSE VEHICLE 28,285,425 5,000,000 Fund of Funds
ICQ INVESTMENTS 6, LP United States 805-8067067242 Private Equity Fund 0 10,000
ICQ CPE 2019 C, L.P. United States 805-3748545958 Other Private Fund SPECIAL PURPOSE VEHICLE 51,383,018 250,000 Fund of Funds
ICONIQ ACCESS 23, LP United States 805-1575570999 Other Private Fund SPECIAL PURPOSE VEHICLE 86,890,579 100,000 Fund of Funds
ICONIQ ACCESS 40, LP United States 805-4644056867 Other Private Fund SPECIAL PURPOSE VEHICLE 21,500,052 150,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., TME SERIES United States 805-8425006612 Private Equity Fund 6,050,253 12,259
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., RV SERIES United States 805-7014677596 Private Equity Fund 284,728,822 50,000
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., EP2 SERIES United States 805-1016864315 Private Equity Fund 34,568,840 25,499
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INV3 SERIES United States 805-9145653458 Private Equity Fund 8,388,064 80,264
ICONIQ ACCESS 32, LP United States 805-7905004517 Other Private Fund SPECIAL PURPOSE VEHICLE 47,455,281 200,000 Fund of Funds
ICQ INVESTMENTS ZY, LP United States 805-7554843916 Private Equity Fund 16,800,308 18,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST. L.P., HZE SERIES United States 805-8731209264 Private Equity Fund 93,101,455 16,000
ICQ INVESTMENTS 7, LP United States 805-1280369386 Private Equity Fund 24,232,146 15,000
ICQ CPE 2018 B, L.P. United States 805-4128298464 Other Private Fund SPECIAL PURPOSE VEHICLE 134,508,185 20,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., FT SERIES United States 805-2252705663 Private Equity Fund 10,076,082 120,000
ICONIQ ACCESS 8, LP United States 805-4334942083 Other Private Fund SPECIAL PURPOSE VEHICLE 2,617,297 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AB SERIES United States 805-9736181124 Private Equity Fund 69,035,365 50,000
ICONIQ ACCESS 63, LP United States 805-7065752593 Other Private Fund SPECIAL PURPOSE VEHICLE 91,487,894 150,000 Fund of Funds
ICONIQ ACCESS 36, LP United States 805-3603180013 Other Private Fund SPECIAL PURPOSE VEHICLE 1,751,084 200,000 Fund of Funds
ICQ INVESTMENTS CD, LP United States 805-7324454484 Other Private Fund SPECIAL PURPOSE VEHICLE 17,051,406 200,286
ICQ OPPORTUNITIES FUND 2, L.P. Cayman Islands 805-6681535263 Private Equity Fund 94,092,211 100,000
ICQ INVESTMENTS 18, LP United States 805-3093711018 Private Equity Fund 18,032,883 10,000
VENTURE CAPITAL PORTFOLIO 2020, L.P. United States 805-7744735470 Other Private Fund SPECIAL PURPOSE VEHICLE 224,426,923 10,000 Master Fund Fund of Funds
PUBLIC EQUITY TAIL HEDGE PORTFOLIO, L.P. United States 805-6547163985 Other Private Fund SPECIAL PURPOSE VEHICLE 316,695,712 0
ICONIQ ACCESS 14, LP United States 805-2097429217 Other Private Fund SPECIAL PURPOSE VEHICLE 8,496,688 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES F United States 805-6503567544 Private Equity Fund 7,114,318 12,500
ICQ HOLDINGS MT, LP Cayman Islands 805-8375728928 Other Private Fund SPECIAL PURPOSE VEHICLE 24,973,735 9,000,000 Fund of Funds
ICQ OPPORTUNITIES FUND 1, L.P. Cayman Islands 805-9984145142 Private Equity Fund 47,258,032 12,500
ICQ ETHOS AUS RE, LP United States 805-8100465919 Real Estate Fund 39,442,980 25,000 Fund of Funds
ICONIQ ACCESS 51, LP United States 805-7180425897 Other Private Fund SPECIAL PURPOSE VEHICLE 200,643,506 200,001 Fund of Funds
ICONIQ ACCESS 1, LP United States 805-6484743796 Other Private Fund SPECIAL PURPOSE VEHICLE 14,726,862 250,000 Fund of Funds
ICONIQ ACCESS 52, LP United States 805-3003712417 Other Private Fund SPECIAL PURPOSE VEHICLE 18,953,064 200,000 Fund of Funds
REAL ASSETS PORTFOLIO 2020, L.P. United States 805-1256877239 Other Private Fund SPECIAL PURPOSE VEHICLE 188,052,414 10,000 Master Fund Fund of Funds
PRIVATE EQUITY PORTFOLIO 2020, L.P. United States 805-3387456846 Other Private Fund SPECIAL PURPOSE VEHICLE 446,605,923 10,000 Master Fund
GLIDE PATH SOLUTIONS 2020 LP United States 805-3873764345 Other Private Fund SPECIAL PURPOSE VEHICLE 1,677,083,629 10,000 Master Fund Fund of Funds
ICQ INVESTMENTS 13, LP United States 805-4360894630 Private Equity Fund 2,472,929 12,500
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES R-B United States 805-5826187425 Private Equity Fund 18,081,498 75,000
ICONIQ ACCESS 24, LP United States 805-1320871756 Other Private Fund SPECIAL PURPOSE VEHICLE 24,378,696 100,000 Fund of Funds
ICONIQ ACCESS 25, LP United States 805-9620864190 Other Private Fund SPECIAL PURPOSE VEHICLE 54,396,452 150,000 Fund of Funds
ICONIQ ACCESS 31, LP United States 805-1815394975 Other Private Fund SPECIAL PURPOSE VEHICLE 12,836,010 100,000 Fund of Funds
ICONIQ ACCESS 38, LP United States 805-1367690586 Other Private Fund SPECIAL PURPOSE VEHICLE 33,389,682 250,000 Fund of Funds
ICQ CVC 2019 B, L.P. United States 805-2840085301 Other Private Fund SPECIAL PURPOSE VEHICLE 41,401,008 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES G United States 805-1315396269 Private Equity Fund 0 200,000
ICQ HOLDINGS 1-C, LLC United States 805-8118058296 Other Private Fund SPECIAL PURPOSE VEHICLE 424,195,562 300,000,000 Fund of Funds
ICQ CPE I, L.P. United States 805-8234632256 Other Private Fund SPECIAL PURPOSE VEHICLE 214,028,128 94,647 Fund of Funds
ICQ INVESTMENTS 23, LP United States 805-1680692754 Private Equity Fund 3,493,103 18,600
ICONIQ ACCESS 47, LP United States 805-9854940897 Other Private Fund SPECIAL PURPOSE VEHICLE 23,093,565 68,229 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., FK-H SERIES United States 805-5301497225 Private Equity Fund 950,218 150,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES C) United States 805-3709972678 Private Equity Fund 30,167,007 5,000,000
ICONIQ RESIDENTIAL PARTNERS FUND B, L.P. United States 805-6385587883 Real Estate Fund 60,230,210 15,000
ICONIQ RESIDENTIAL PARTNERS FUND C, L.P. United States 805-9836580310 Real Estate Fund 80,675,672 500,000
ICQ INVESTMENTS AS, LP United States 805-3029359392 Private Equity Fund 2,000,037 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES P) United States 805-3256579289 Private Equity Fund 35,762,707 54,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. (SERIES TS) United States 805-9863083107 Private Equity Fund 368,293,758 20,000
ICONIQ ACCESS 65, LP United States 805-9441433940 Other Private Fund SPECIAL PURPOSE VEHICLE 22,160,221 24,735 Fund of Funds
ICONIQ ACCESS 43, LP United States 805-5153353895 Other Private Fund SPECIAL PURPOSE VEHICLE 23,530,619 100,000 Fund of Funds
ICONIQ ACCESS 49, LP United States 805-7734250797 Other Private Fund SPECIAL PURPOSE VEHICLE 93,206,211 100,000 Fund of Funds
ICONIQ ACCESS 10, LP United States 805-9551815534 Other Private Fund SPECIAL PURPOSE VEHICLE 32,274 50,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., GF SERIES United States 805-3930967473 Private Equity Fund 6,711,825 70,000
ICONIQ ACCESS 42, LP United States 805-1346603753 Other Private Fund SPECIAL PURPOSE VEHICLE 39,693,332 1,350,000 Fund of Funds
ICQ OPPORTUNITIES FUND 5, L.P. United States 805-6552524886 Private Equity Fund 51,405 50,000
ICONIQ ACCESS 59, LP United States 805-2664210898 Other Private Fund SPECIAL PURPOSE VEHICLE 13,324,144 335,000 Fund of Funds
ICQ OPPORTUNITIES FUND OC, L.P. United States 805-6957975601 Private Equity Fund 50,381,930 10,000
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., SF SERIES United States 805-4846206302 Private Equity Fund 260,064,720 19,000
ICONIQ STRATEGIC PARTNERS III COINVEST, L.P., EP1 SERIES United States 805-1221441628 Private Equity Fund 173,782,676 5,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES BL2 United States 805-7429436927 Private Equity Fund 44,234 40,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES H United States 805-2608521106 Private Equity Fund 3,395,189 35,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., P SERIES United States 805-9513013744 Private Equity Fund 180,755,328 242,972
ICONIQ ACCESS 27, LP United States 805-7367552408 Other Private Fund SPECIAL PURPOSE VEHICLE 18,260,777 150,000 Fund of Funds
ICONIQ ACCESS 64, LP United States 805-4067687275 Other Private Fund SPECIAL PURPOSE VEHICLE 25,832,001 200,000 Fund of Funds
ICONIQ ACCESS 66 LP United States 805-9401725145 Other Private Fund SPECIAL PURPOSE VEHICLE 12,000,862 250,000 Fund of Funds
ICQ INVESTMENTS SY, LP United States 805-1131582338 Private Equity Fund 5,162,598 25,000
ICONIQ STRATEGIC PARTNERS III-B, L.P. Cayman Islands 805-3228563765 Private Equity Fund 1,617,725,970 25,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC SERIES United States 805-9040261218 Private Equity Fund 22,299,455 150,000
ICQ OPPORTUNITIES FUND 3, L.P. United States 805-8409427963 Private Equity Fund 24,914,662 5,000
ICQ INVESTMENTS GW, LP United States 805-1449164893 Other Private Fund SPECIAL PURPOSE VEHICLE 47,107,026 150,000
ICONIQ ACCESS 35, LP United States 805-6613364785 Other Private Fund SPECIAL PURPOSE VEHICLE 15,644,918 100,000 Fund of Funds

ICONIQ CAPITAL, LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
MAKAN, DIVESH, KANTHYLAL LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2011 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
KG REDDING, LLC OWNER indirect 2005-04-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
OGAM, LP PARTNER direct 2017-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
HG AMALGAM LLP MEMBER direct 2009-10-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect