ENVESTNET ASSET MANAGEMENT INC

https://twitter.com/foliodx • CHICAGO, IL • Investment Advisor How do I update this listing?

Download 13F Summary Create Email Alert

Envestnet Asset Management is based out of Chicago. Envestnet Asset Management is a large advisory firm with 1246105 clients and discretionary assets under management (AUM) of $312,605,023,242 (Form ADV from 2022-06-17). Their last reported 13F filing for Q2 2022 included $178,895,958,000 in managed 13F securities and a top 10 holdings concentration of 24.71%. Envestnet Asset Management's largest holding is iShares Core S&P 500 ETF- with shares held of 29,201,160. Whalewisdom has at least 64 13F filings

06/30/2022

13F Activity

  • Market Value $178.896 Billion
  • Prior Market Value $198.76 Billion
  • New Purchases230 stocks
  • Additional Purchases2165 stocks
  • Sold out of241 stocks
  • Reduced holdings in1459 stocks
  • Top 10 Holdings % 24.71 %
  • Turnover % [1]:12.07%
  • Turnover Alt % [2]: 7.71 %
  • Time Held Top20:23.85 quarters
  • Time Held Top10:13.70 quarters
  • Time Held All:21.58 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.

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-08-15

Performance for Q2 2022: 3.26%
Performance Last 4 Quarters: -8.53%
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
Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Click to See Additional Filters

Security Types:

Refresh
*Shares are split adjusted

Global (ex. US) Holdings

A premium subscription (standard or higher) is required to view global (non-US) holdings

Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

ENVESTNET PMC
35 EAST WACKER DRIVE, SUITE 2400
CHICAGO IL    60601-2206
Country: United States
Business Phone: 312-827-2800
Fax: 312-621-7089
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: DE
Number of employees: 459
Other Business Activities: ,INVESTMENT RESEARCH/PORTFOLIO MANAGEMENT SOFTWARE
Advisor Fees/Compensation: Percentage of assets under management,Subscription fees,Fixed fees,A PERCENTAGE OF ASSETS OR REVENUES UNDER OUR CLIENTS' MANAGEMENT
Amount of client funds and securities: 59,054,200,000
Total Number of Clients: 1246105
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Insider Transactions in the past year

Loading...

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2022-06-17
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CO-CIO/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
COPPOLA, ROBERT MICHAEL CHIEF TECHNOLOGY OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF TECHNOLOGY OFFICER direct 2020-11-01
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
D'AURIA, DANA, MARIE CO-CIO 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. CO-CHIEF INVESTMENT OFFICER direct 2020-09-01
ENVESTNET ASSET MANAGEMENT, INC. CO-CIO direct 2020-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CO-CIO direct 2020-09-01
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CO-CIO/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
COPPOLA, ROBERT MICHAEL CHIEF TECHNOLOGY OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF TECHNOLOGY OFFICER direct 2020-11-01
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
D'AURIA, DANA, MARIE CO-CIO 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. CO-CHIEF INVESTMENT OFFICER direct 2020-09-01
ENVESTNET ASSET MANAGEMENT, INC. CO-CIO direct 2020-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CO-CIO direct 2020-09-01
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2021-07-15
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CO-CIO/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
COPPOLA, ROBERT MICHAEL CHIEF TECHNOLOGY OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF TECHNOLOGY OFFICER direct 2020-11-01
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
D'AURIA, DANA, MARIE CO-CIO 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. CO-CHIEF INVESTMENT OFFICER direct 2020-09-01
ENVESTNET ASSET MANAGEMENT, INC. CO-CIO direct 2020-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CO-CIO direct 2020-09-01
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CO-CIO/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
COPPOLA, ROBERT MICHAEL CHIEF TECHNOLOGY OFFICER 11/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF TECHNOLOGY OFFICER direct 2020-11-01
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
D'AURIA, DANA, MARIE CO-CIO 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FDX ADVISORS, INC. CO-CHIEF INVESTMENT OFFICER direct 2020-09-01
ENVESTNET ASSET MANAGEMENT, INC. CO-CIO direct 2020-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CO-CIO direct 2020-09-01
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2020-07-06
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2020-01-16
Name Title Start Date Direct/Indirect % Ownership

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2019-11-11
Name Title Start Date Direct/Indirect % Ownership
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
SEIER, DALE, JOSEPH CONTROLLER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CONTROLLER direct 2003-06-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CONTROLLER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CONTROLLER direct 2007-10-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CONTROLLER direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS TREASURER, SR VP direct 1999-12-01 2002-03-28
PORTFOLIO MANAGEMENT CONSULTANTS, INC. TREASURER, SR VP, VP COMPLIANCE direct 2002-01-01 2005-07-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT FINANCE direct 2002-01-01 2007-06-27
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SVP, CORPORATE CONTROLLER direct 2007-10-01 2011-05-31
FUNDQUEST INCORPORATED ASSISTANT SECRETARY direct 2011-12-01 2011-12-19
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. INTERIM CEO 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2019-05-07
Name Title Start Date Direct/Indirect % Ownership
BERGMAN, JUDSON, T CHAIRMAN, CEO AND DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
SEIER, DALE, JOSEPH CONTROLLER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CONTROLLER direct 2003-06-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CONTROLLER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CONTROLLER direct 2007-10-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CONTROLLER direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS TREASURER, SR VP direct 1999-12-01 2002-03-28
PORTFOLIO MANAGEMENT CONSULTANTS, INC. TREASURER, SR VP, VP COMPLIANCE direct 2002-01-01 2005-07-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT FINANCE direct 2002-01-01 2007-06-27
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SVP, CORPORATE CONTROLLER direct 2007-10-01 2011-05-31
FUNDQUEST INCORPORATED ASSISTANT SECRETARY direct 2011-12-01 2011-12-19
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
BERGMAN, JUDSON, T CHAIRMAN, CEO AND DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
SEIER, DALE, JOSEPH CONTROLLER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CONTROLLER direct 2003-06-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CONTROLLER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CONTROLLER direct 2007-10-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CONTROLLER direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS TREASURER, SR VP direct 1999-12-01 2002-03-28
PORTFOLIO MANAGEMENT CONSULTANTS, INC. TREASURER, SR VP, VP COMPLIANCE direct 2002-01-01 2005-07-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT FINANCE direct 2002-01-01 2007-06-27
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SVP, CORPORATE CONTROLLER direct 2007-10-01 2011-05-31
FUNDQUEST INCORPORATED ASSISTANT SECRETARY direct 2011-12-01 2011-12-19
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2018-10-03
Name Title Start Date Direct/Indirect % Ownership
BERGMAN, JUDSON, T CHAIRMAN, CEO AND DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
SEIER, DALE, JOSEPH CONTROLLER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CONTROLLER direct 2003-06-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CONTROLLER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CONTROLLER direct 2007-10-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CONTROLLER direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS TREASURER, SR VP direct 1999-12-01 2002-03-28
PORTFOLIO MANAGEMENT CONSULTANTS, INC. TREASURER, SR VP, VP COMPLIANCE direct 2002-01-01 2005-07-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT FINANCE direct 2002-01-01 2007-06-27
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SVP, CORPORATE CONTROLLER direct 2007-10-01 2011-05-31
FUNDQUEST INCORPORATED ASSISTANT SECRETARY direct 2011-12-01 2011-12-19
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

ENVESTNET ASSET MANAGEMENT, INC.

ownership team - last updated 2017-09-28
Name Title Start Date Direct/Indirect % Ownership
BERGMAN, JUDSON, T CHAIRMAN, CEO AND DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-05-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. CHAIRMAN, CEO AND DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2011-12-01
ERS, INC. CHAIRMAN, CEO AND DIRECTOR direct 2013-02-01
UPSIDE FINANCIAL, LLC PRESIDENT direct 2015-02-01
ENVESTNET ADVISORY CORP. CHAIRMAN, CEO AND DIRECTOR direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. SHAREHOLDER indirect 2000-05-01 2001-06-22
ENVESTNET ADVISORY CORP. CHAIRMAN, PRESIDENT, CEO AND DIRECTOR direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CEO AND CHAIRMAN direct 2001-09-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. CEO AND CHAIRMAN direct 2004-12-01 2011-05-31
FUNDQUEST INCORPORATED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2011-12-01 2011-12-19
ENVESTNET, INC. SHAREHOLDER 05/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER indirect 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SHAREHOLDER OF PMCI indirect 2001-09-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SHAREHOLDER direct 2011-12-01
NETASSETMANAGEMENT, INC. SHAREHOLDER direct 2004-05-01
ENVESTNET ASSET MANAGEMENT, INC. SHAREHOLDER direct 2000-05-01
PLACEMARK INVESTMENTS, INC. SHAREHOLDER indirect 2014-10-01
ENVESTNET CAPITAL, L.L.C. SHAREHOLDER direct 2004-12-01
KD ADVISORS, LLC MEMBER indirect 2014-02-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER direct 2015-04-01
ERS, INC. SHAREHOLDER direct 2013-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC MEMBER direct 2014-02-01
UPSIDE FINANCIAL, LLC SHAREHOLDER indirect 2015-02-01
THOMAS, BRANDON, ROCKWELL CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2001-09-01
SIGMA ASSET MANAGEMENT, L.L.C. PRESIDENT direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF INVESTMENT OFFICER/MANAGING DIRECTOR direct 2011-12-01
ENVESTNET ADVISORY CORP. VICE PRESIDENT AND SECRETARY direct 2000-05-01 2001-03-30
ENVESTNET ADVISORY CORP. VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND SECRETARY direct 2001-05-01 2001-06-22
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CIO AND SECRETARY direct 2001-09-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR AND SECRETARY direct 2001-09-01 2002-05-23
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF INVESTMENT OFFICER direct 2001-09-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, CHIEF INVESTMENT OFFICER MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED CHIEF INVESTMENT OFFICER direct 2011-12-01 2011-12-19
DARRIGO, PETER, H CHIEF FINANCIAL OFFICER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
NUVEEN SENIOR LOAN ASSET MANAGEMENT INC. VICE PRESIDENT AND TREASURER direct 1999-09-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
OBERON FINANCIAL TECHNOLOGY, INC. CHIEF FINANCIAL OFFICER direct 2008-06-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF FINANCIAL OFFICER direct 2011-12-01
SANTA BARBARA ASSET MANAGEMENT, LLC TREASURER direct 2006-03-01 2008-04-23
NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC VICE PRESIDENT & TREASURER direct 2007-07-01 2009-01-05
DEVOE, DEBRA, JANE SVP, CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNGARD ADVISOR TECHNOLOGIES, INC. CHIEF COMPLIANCE OFFICER direct 2007-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET ASSET MANAGEMENT, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
PLACEMARK INVESTMENTS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-10-01
ERS, INC. SVP, CHIEF COMPLIANCE OFFICER direct 2014-01-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CCO direct 2014-02-01
ENVESTNET RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2014-02-01
UPSIDE FINANCIAL, LLC SVP, CHIEF COMPLIANCE OFFICER direct 2015-02-01
SEIER, DALE, JOSEPH CONTROLLER 06/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. CONTROLLER direct 2003-06-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
OBERON FINANCIAL TECHNOLOGY, INC. CONTROLLER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CONTROLLER direct 2007-10-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CONTROLLER direct 2011-12-01
PORTFOLIO MANAGEMENT CONSULTANTS TREASURER, SR VP direct 1999-12-01 2002-03-28
PORTFOLIO MANAGEMENT CONSULTANTS, INC. TREASURER, SR VP, VP COMPLIANCE direct 2002-01-01 2005-07-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT FINANCE direct 2002-01-01 2007-06-27
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SVP, CORPORATE CONTROLLER direct 2007-10-01 2011-05-31
FUNDQUEST INCORPORATED ASSISTANT SECRETARY direct 2011-12-01 2011-12-19
GRINIS, SCOTT, DAVID EVP/CHIEF TECHNOLOGY OFFICER 12/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
OBERON FINANCIAL TECHNOLOGY, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2000-02-01
ENVESTNET ASSET MANAGEMENT, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MYMONEYPRO COM INC V.P.-ENGINEERING direct 2000-02-01 2001-12-21
OBERON FINANCIAL TECHNOLOGY, INC. E.V.P.-ENGINEERING direct 2000-02-01 2011-05-31
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT, CHIEF TECHNOLOGY OFFICER direct 2011-12-01 2011-12-19
CRAGER, WILLIAM, C. PRESIDENT/MANAGING DIRECTOR 09/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
ENVESTNET ASSET MANAGEMENT, INC. PRESIDENT/MANAGING DIRECTOR direct 2001-09-01
OBERON FINANCIAL TECHNOLOGY, INC. PRESIDENT/MANAGING DIRECTOR direct 2004-12-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. PRESIDENT/MANAGING DIRECTOR direct 2011-12-01
ALPHAHEDGE CAPITAL PARTNERS, LLC MEMBER REPRESENTATIVE direct 2015-04-01
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR direct 2001-09-01 2011-08-18
FUNDQUEST INCORPORATED EXECUTIVE VICE-PRESIDENT direct 2011-12-01 2011-12-19
O'BRIEN, SHELLY, S EVP/GENERAL COUNSEL/SECRETARY 03/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2002-03-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2011-12-01
OBERON FINANCIAL TECHNOLOGY, INC. EVP/GENERAL COUNSEL/SECRETARY direct 2004-12-01
SIGMA ASSET MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2004-12-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, LEGAL COUNSEL direct 2002-03-01 2002-03-28
ENVESTNETPMC, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2002-03-01 2002-05-23
ENVESTNET ASSET MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-06-24
PORTFOLIO MANAGEMENT CONSULTANTS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2005-07-01
ENVESTNET ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2008-10-01
PORTFOLIO MANAGEMENT CONSULTANTS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2009-09-30
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-05-31
OBERON FINANCIAL TECHNOLOGY, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2004-12-01 2011-05-31
ENVESTNET ASSET MANAGEMENT, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2002-03-01 2011-08-18
FUNDQUEST INCORPORATED SECRETARY direct 2011-12-01 2011-12-19
PORTFOLIO MANAGEMENT CONSULTANTS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-09-06
ENVESTNET ASSET MANAGEMENT, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2002-03-01 2013-10-02
ENVESTNET PORTFOLIO SOLUTIONS, INC. EVP/GENERAL COUNSEL/SECRETARY/CCO direct 2011-12-01 2013-11-01
ERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01 2013-11-27
MAYER, JOSHUA, DAVID CHIEF OPERATING OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PORTFOLIO MANAGEMENT CONSULTANTS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET PORTFOLIO SOLUTIONS, INC. CHIEF OPERATING OFFICER direct 2014-04-01
ENVESTNET ASSET MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2014-04-01

Elevate your investments