ICONIQ CAPITAL, LLC

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Iconiq Capital is based out of San Francisco. Iconiq Capital is a hedge fund with 629 clients and discretionary assets under management (AUM) of $76,138,534,712 (Form ADV from 2022-04-27). Their last reported 13F filing for Q2 2022 included $8,445,624,000 in managed 13F securities and a top 10 holdings concentration of 92.93%. Iconiq Capital's largest holding is Snowflake, Inc. with shares held of 17,422,870. Iconiq Capital has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 44 13F filings

06/30/2022

13F Activity

  • Market Value $8.446 Billion
  • Prior Market Value $13.525 Billion
  • New Purchases3 stocks
  • Additional Purchases27 stocks
  • Sold out of4 stocks
  • Reduced holdings in21 stocks
  • Top 10 Holdings % 92.93 %
  • Turnover % [1]:10.61%
  • Turnover Alt % [2]: 4.37 %
  • Time Held Top20:5.10 quarters
  • Time Held Top10:3.30 quarters
  • Time Held All:14.35 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: 18.43%
Performance Last 4 Quarters: -39.47%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

Global (ex. US) Holdings

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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

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

Business Phone: 415-967-7763
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 378
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 23,055,000,000
Total Number of Clients: 629
Amount of client funds and securities by related persons: 68,298,000,000
Total Number of clients from related persons: 189
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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ICONIQ CAPITAL, LLC

ownership team - last updated 2022-04-27
Name Title Start Date Direct/Indirect % Ownership
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
MAKAN, DIVESH, KANTHYLAL TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
MAKAN, DIVESH, KANTHYLAL SOLE MEMBER ICONIQ CAPITAL GROUP GP, LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
Makan, Diksha TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC TRUSTEE indirect 2020-10-01
IPI PARTNERS, LLC TRUSTEE indirect 2020-10-01
ICONIQ MANAGEMENT HOLDINGS, LP LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ FEEDER, LP LIMITED PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN FAMILY TRUST DTD 10/10/05 LIMITED PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BOBERSKI & CO PRESIDENT direct 1966-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
TYREE, DAVID W. PRESIDENT direct 1991-04-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
HONISS ROBIN OWNER direct 1993-01-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
SIFE DIRECTOR/OWNER direct 1995-12-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
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COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. STOCKHOLDER direct 1946-07-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
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AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
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DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
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FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
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ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
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SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
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MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
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ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
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THE DE BURLO GROUP,INC. SECRETARY direct 1987-10-01 2003-03-18
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HORNOR, TOWNSEND & KENT, INC. DIRECTOR direct 1998-05-01 2003-04-08
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AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ICONIQ ACCESS 27, LP United States 805-7367552408 Other Private Fund SPECIAL PURPOSE VEHICLE 9,251,289 150,000 Fund of Funds
ICONIQ ACCESS 59, LP United States 805-2664210898 Other Private Fund SPECIAL PURPOSE VEHICLE 20,178,968 335,000 Fund of Funds
ICQ HOLDINGS 6, LLC United States 805-9779895302 Other Private Fund SPECIAL PURPOSE VEHICLE 97,474,226 20,000,000 Fund of Funds
ICONIQ ACCESS 8 LP United States 805-4334942083 Other Private Fund SPECIAL PURPOSE VEHICLE 2,959,186 50,000 Fund of Funds
ICONIQ ACCESS 36, LP United States 805-3603180013 Other Private Fund SPECIAL PURPOSE VEHICLE 750 0 Fund of Funds
ICONIQ ACCESS 14, LP United States 805-2097429217 Other Private Fund SPECIAL PURPOSE VEHICLE 10,745,850 50,000 Fund of Funds
ICONIQ ACCESS 31, LP United States 805-1815394975 Other Private Fund SPECIAL PURPOSE VEHICLE 16,678,522 100,000 Fund of Funds
ICQ OPPORTUNITIES FUND 3, L.P. United States 805-8409427963 Private Equity Fund 28,038,719 5,000
ICQ OPPORTUNITIES FUND PD, L.P. United States 805-9085669455 Private Equity Fund 50,439,513 10,000
ICQ INVESTMENTS ZY, LP United States 805-7554843916 Other Private Fund SPECIAL PURPOSE VEHICLE 22,086,433 18,000
ICONIQ ACCESS 38, LP United States 805-1367690586 Other Private Fund SPECIAL PURPOSE VEHICLE 33,455,407 750,000 Fund of Funds
ICONIQ ACCESS 51, LP United States 805-7180425897 Other Private Fund SPECIAL PURPOSE VEHICLE 16,886,935 0 Fund of Funds
PRIVATE EQUITY PORTFOLIO 2020, L.P. United States 805-3387456846 Private Equity Fund 564,116,043 0 Master Fund Fund of Funds
ICQ INVESTMENTS GW, L.P. United States 805-1449164893 Other Private Fund SPECIAL PURPOSE VEHICLE 6,556,884 150,000
ICQ INVESTMENTS 22, L.P. United States 805-3855489456 Other Private Fund SPECIAL PURPOSE VEHICLE 16,809,710 2,259
ICQ INVESTMENTS 23, L.P. United States 805-1680692754 Other Private Fund SPECIAL PURPOSE VEHICLE 3,493,103 18,600
ICQ INVESTMENTS EW, L.P. United States 805-1096315638 Other Private Fund SPECIAL PURPOSE VEHICLE 1,385,988 100,000
ICONIQ RESIDENTIAL PARTNERS FUND A, L.P. United States 805-4849547435 Real Estate Fund 481,499,904 10,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES PS United States 805-2454726947 Private Equity Fund 359,618 25,000
ICONIQ STRATEGIC PARTNERS V, L.P. Cayman Islands 805-5600088903 Private Equity Fund 1,714,796,475 12,500
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES TS United States 805-9863083107 Private Equity Fund 803,048,901 20,000
PRIVATE EQUITY PORTFOLIO 2021, L.P. United States 805-4600510785 Private Equity Fund 849,067,893 0 Master Fund Fund of Funds
PRIVATE REAL RETURN PORTFOLIO 2021, L.P. United States 805-1736656600 Private Equity Fund 60,301,850 0 Fund of Funds
ICQ CPE 2019 A-2, L.P. United States 805-3167460299 Other Private Fund SPECIAL PURPOSE VEHICLE 343,180,850 500,000 Fund of Funds
ICONIQ ACCESS 39, LP United States 805-1270270409 Other Private Fund SPECIAL PURPOSE VEHICLE 19,991,966 92,991 Fund of Funds
ICONIQ ACCESS 26, LP United States 805-2863662427 Other Private Fund SPECIAL PURPOSE VEHICLE 70,389,330 100,000 Fund of Funds
GLIDE PATH SOLUTIONS 2020, L.P. United States 805-3873764345 Private Equity Fund 1,176,404,910 0 Master Fund Fund of Funds
ICONIQ ACCESS 24, LP United States 805-1320871756 Other Private Fund SPECIAL PURPOSE VEHICLE 32,158,854 100,000 Fund of Funds
ICONIQ ACCESS 25, LP United States 805-9620864190 Other Private Fund SPECIAL PURPOSE VEHICLE 89,777,370 150,000 Fund of Funds
ICONIQ ACCESS 34, LP United States 805-9080097316 Other Private Fund SPECIAL PURPOSE VEHICLE 37,305,228 125,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES G-B United States 805-5062664146 Private Equity Fund 123,881 10,000,000
ICONIQ ACCESS 41, LP United States 805-8845125856 Other Private Fund SPECIAL PURPOSE VEHICLE 26,749,754 5,000,000 Fund of Funds
ICONIQ ACCESS 48, LP United States 805-8226747756 Other Private Fund SPECIAL PURPOSE VEHICLE 75,247,260 75,000 Fund of Funds
ICONIQ ACCESS 11, LP United States 805-4780701164 Other Private Fund SPECIAL PURPOSE VEHICLE 29,506,498 75,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., GF SERIES United States 805-3930967473 Private Equity Fund 12,673,287 70,000
ICQ HOLDINGS KI, LLC Cayman Islands 805-7384168634 Other Private Fund SPECIAL PURPOSE VEHICLE 132,240,474 50,000,000 Fund of Funds
ICONIQ ACCESS 29, LP United States 805-9513777676 Other Private Fund SPECIAL PURPOSE VEHICLE 2,755,108 5,000,000 Fund of Funds
ICONIQ ACCESS 50, LP United States 805-1528418842 Other Private Fund SPECIAL PURPOSE VEHICLE 25,194,406 100,000 Fund of Funds
GLIDE PATH SOLUTIONS AIV 2021, LP United States 805-9740761537 Private Equity Fund 98,864,326 0 Fund of Funds
REAL ESTATE PORTFOLIO HT SPV, LP United States 805-6078598259 Other Private Fund SPECIAL PURPOSE VEHICLE 111,858,858 0 Fund of Funds
BB HOLDINGS OV, LP United States 805-7896033972 Other Private Fund SPECIAL PURPOSE VEHICLE 39,837,700 0 Fund of Funds
BB HOLDINGS AC, LP United States 805-9759521664 Other Private Fund SPECIAL PURPOSE VEHICLE 54,460,001 0
BB HOLDINGS IB, LP United States 805-6807834915 Other Private Fund SPECIAL PURPOSE VEHICLE 331,071,472 0 Fund of Funds
ABSOLUTE RETURN PARALLEL PORTFOLIO, LP Cayman Islands 805-8050101086 Private Equity Fund 219,025,455 25,000 Fund of Funds
ICQ CPE 2019 A-1, L.P. United States 805-7200002746 Other Private Fund SPECIAL PURPOSE VEHICLE 508,695,518 100,000 Fund of Funds
ICQ CPE I, L.P. United States 805-8234632256 Other Private Fund SPECIAL PURPOSE VEHICLE 282,422,054 94,647 Fund of Funds
PRIVATE CREDIT PORTFOLIO 2021, LP.. United States 805-9803619124 Private Equity Fund 315,252,150 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS IV, L.P. Cayman Islands 805-3615326503 Private Equity Fund 2,687,377,252 10,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST2 SERIES United States 805-1881080362 Private Equity Fund 102,028,021 100,000
ICQ CPE 2018 A-2, L.P. United States 805-9191955194 Other Private Fund SPECIAL PURPOSE VEHICLE 276,514,856 500,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., NS SERIES United States 805-1673242919 Private Equity Fund 47,962,047 127,396
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST SERIES United States 805-3192512110 Private Equity Fund 249,917,254 127,266
ICONIQ STRATEGIC PARTNERS II, L.P. Cayman Islands 805-5367337264 Private Equity Fund 3,996,801,625 12,500
ICONIQ STRATEGIC PARTNERS II-B, L.P. Cayman Islands 805-9419123160 Private Equity Fund 3,120,002,968 15,000
ABSOLUTE RETURN PORTFOLIO, LP United States 805-7140500264 Private Equity Fund 465,721,173 27,500 Fund of Funds
ICONIQ STRATEGIC PARTNERS V-B, L.P. Cayman Islands 805-1661029653 Private Equity Fund 2,303,358,496 15,000
ICQ HOLDINGS 5, LLC United States 805-9611306400 Other Private Fund SPECIAL PURPOSE VEHICLE 83,559,362 20,000,000 Fund of Funds
ICONIQ ACCESS 57, LP United States 805-5162124605 Other Private Fund SPECIAL PURPOSE VEHICLE 7,900,756 11,500 Fund of Funds
ICONIQ ACCESS 17, LP United States 805-1151912246 Other Private Fund SPECIAL PURPOSE VEHICLE 181,223,225 75,000 Fund of Funds
ICQ CPE 2018 A-1, L.P. United States 805-3402367178 Other Private Fund SPECIAL PURPOSE VEHICLE 535,765,941 100,000 Fund of Funds
VENTURE CAPITAL PORTFOLIO 2020, L.P. United States 805-7744735470 Private Equity Fund 350,409,951 0 Master Fund Fund of Funds
TACTICAL OPPORTUNITIES PORTFOLIO AIV 2020, L.P. United States 805-2870345159 Private Equity Fund 116,857,473 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2021, L.P. United States 805-1709569242 Private Equity Fund 407,588,701 0 Master Fund Fund of Funds
ICONIQ ACCESS 42, LP United States 805-1346603753 Other Private Fund SPECIAL PURPOSE VEHICLE 48,890,999 1,350,000 Fund of Funds
ICONIQ ACCESS 47, LP United States 805-9854940897 Other Private Fund SPECIAL PURPOSE VEHICLE 14,840,398 68,229 Fund of Funds
ICONIQ ACCESS 49, LP United States 805-7734250797 Other Private Fund SPECIAL PURPOSE VEHICLE 88,613,318 100,000 Fund of Funds
ICONIQ ACCESS 43, LP United States 805-5153353895 Other Private Fund SPECIAL PURPOSE VEHICLE 25,731,816 100,000 Fund of Funds
ICQ INVESTMENTS 7, L.P. United States 805-1280369386 Other Private Fund SPECIAL PURPOSE VEHICLE 25,300,886 15,000
ICQ HOLDINGS AT, LLC United States 805-8279806103 Other Private Fund SPECIAL PURPOSE VEHICLE 173,744,892 35,000,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2022, LP United States 805-6574756457 Private Equity Fund 650,139,250 0 Master Fund Fund of Funds
ICONIQ ACCESS 1, LP United States 805-6484743796 Other Private Fund SPECIAL PURPOSE VEHICLE 7,955 0 Fund of Funds
ICONIQ ACCESS 52, LP United States 805-3003712417 Other Private Fund SPECIAL PURPOSE VEHICLE 23,890,400 200,000 Fund of Funds
ICQ HOLDINGS ITEURA, LLC Cayman Islands 805-1742872981 Other Private Fund SPECIAL PURPOSE VEHICLE 92,173,770 20,000,000 Fund of Funds
ICQ INVESTMENTS PG, L.P. United States 805-6019092741 Other Private Fund SPECIAL PURPOSE VEHICLE 2,800,000 10,000
ICQ INVESTMENTS RS, L.P. United States 805-1683346552 Other Private Fund SPECIAL PURPOSE VEHICLE 16,143,500 2,000
GLIDE PATH SOLUTIONS 2021, L.P. United States 805-5154339739 Private Equity Fund 1,909,930,615 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND NL, L.P. United States 805-6287539276 Other Private Fund SPECIAL PURPOSE VEHICLE 17,039,651 5,000
VENTURE CAPITAL PORTFOLIO 2021, L.P. United States 805-3879778105 Private Equity Fund 465,622,731 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND OC, L.P. United States 805-6957975601 Private Equity Fund 64,034,051 10,000
ICONIQ ACCESS 62, LP United States 805-4914918854 Other Private Fund SPECIAL PURPOSE VEHICLE 189,080,298 100,000 Fund of Funds
ICONIQ ACCESS 66 LP United States 805-9401725145 Other Private Fund SPECIAL PURPOSE VEHICLE 14,032,069 250,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS-B, L.P. Cayman Islands 805-6054999926 Private Equity Fund 88,117,880 15,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES QG-B United States 805-9135494352 Private Equity Fund 98,062,003 15,000
ICQ CPE 2019 C, L.P. United States 805-3748545958 Other Private Fund SPECIAL PURPOSE VEHICLE 63,482,179 250,000 Fund of Funds
ICQ CPE 2019 B, L.P. United States 805-7613300643 Other Private Fund SPECIAL PURPOSE VEHICLE 160,008,990 200,000 Fund of Funds
ICQ HOLDINGS MT, LP Cayman Islands 805-8375728928 Other Private Fund SPECIAL PURPOSE VEHICLE 34,059,093 9,000,000 Fund of Funds
ICQ INVESTMENTS WL, L.P. United States 805-3916021486 Other Private Fund SPECIAL PURPOSE VEHICLE 6,624,738 9,350
ICQ BHL ECI HOLDINGS, L.P. United States 805-6332627996 Other Private Fund SPECIAL PURPOSE VEHICLE 138,425,972 30,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES QG United States 805-8841483327 Private Equity Fund 91,140,561 15,000
ICONIQ STRATEGIC PARTNERS IV-B, L.P. Cayman Islands 805-3659808397 Private Equity Fund 4,444,259,004 25,000
ICQ INVESTMENTS BX, L.P. United States 805-6230402020 Other Private Fund SPECIAL PURPOSE VEHICLE 3,768,226 5,000
ICQ ETHOS AUS RE, L.P. United States 805-8100465919 Real Estate Fund 59,163,572 25,000 Fund of Funds
ICQ HOLDINGS 1-C, LLC United States 805-8118058296 Other Private Fund SPECIAL PURPOSE VEHICLE 738,383,239 300,000,000 Fund of Funds
ICQ INVESTMENTS CD, L.P. United States 805-7324454484 Other Private Fund SPECIAL PURPOSE VEHICLE 0 200,286
ICQ INVESTMENTS CX, LP United States 805-3464497885 Other Private Fund SPECIAL PURPOSE VEHICLE 8,195,122 10,000
ICONIQ STRATEGIC PARTNERS III-B, L.P. Cayman Islands 805-3228563765 Private Equity Fund 6,269,960,852 25,000
CO-INVESTMENT PORTFOLIO AIV 2020, L.P. United States 805-5434507524 Private Equity Fund 1,200,982 0 Fund of Funds
GLIDE PATH SOLUTIONS AIV 2020, L.P. United States 805-3705811309 Private Equity Fund 362,124,378 0 Fund of Funds
ICONIQ ACCESS 65, LP United States 805-9441433940 Other Private Fund SPECIAL PURPOSE VEHICLE 34,708,051 24,735 Fund of Funds
ICQ OPPORTUNITIES FUND AW LP United States 805-6117012216 Private Equity Fund 128,561,914 200,000
ICQ CVC 2019 B, L.P. United States 805-2840085301 Other Private Fund SPECIAL PURPOSE VEHICLE 62,578,380 50,000 Fund of Funds
ICQ OPPORTUNITIES FUND 1, L.P. Cayman Islands 805-9984145142 Private Equity Fund 44,251 12,500
ICQ HOLDINGS 3, LLC United States 805-4054601580 Other Private Fund SPECIAL PURPOSE VEHICLE 123,839,810 25,000,000 Fund of Funds
ICQ CVC 2018 B, L.P. United States 805-1932933078 Other Private Fund SPECIAL PURPOSE VEHICLE 27,676,902 50,000 Fund of Funds
ICQ HOLDINGS 1, LLC United States 805-3966571936 Other Private Fund SPECIAL PURPOSE VEHICLE 108,852,835 25,000,000 Fund of Funds
ICQ HOLDINGS 2-C, LLC United States 805-3668784460 Other Private Fund SPECIAL PURPOSE VEHICLE 386,272,287 150,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES R-B United States 805-5826187425 Private Equity Fund 85,247 75,000
ICQ OPPORTUNITIES FUND RB LP United States 805-3732719552 Other Private Fund SPECIAL PURPOSE VEHICLE 26,756,187 5,000
IREP OPPORTUNITIES FUND I A, LP United States 805-8606357822 Real Estate Fund 89,516,948 125,000
ICQ CPE 2018 B, L.P. United States 805-4128298464 Other Private Fund SPECIAL PURPOSE VEHICLE 159,519,977 20,000 Fund of Funds
ICQ CPE 2018 C, L.P. United States 805-1482786421 Other Private Fund SPECIAL PURPOSE VEHICLE 47,906,993 300,000 Fund of Funds
ICQ INVESTMENTS 1, L.P. United States 805-6180924990 Other Private Fund SPECIAL PURPOSE VEHICLE 225,681 12,000
ICQ INVESTMENTS 11, L.P. United States 805-8409403349 Other Private Fund SPECIAL PURPOSE VEHICLE 2,237,216 10,000
ICQ INVESTMENTS 9, L.P. United States 805-6315586436 Other Private Fund SPECIAL PURPOSE VEHICLE 65,760,990 10,000
ICONIQ STRATEGIC PARTNERS, L.P. Cayman Islands 805-2269087813 Private Equity Fund 359,814,109 6,890
BB HOLDINGS VER, L.P. United States 805-2221966280 Other Private Fund SPECIAL PURPOSE VEHICLE 256,777,535 50,000,000 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2022, LP United States 805-9602943694 Private Equity Fund 374,818,610 0 Master Fund Fund of Funds
BB HOLDINGS TB, LP United States 805-4422522466 Other Private Fund SPECIAL PURPOSE VEHICLE 44,718,031 960,000 Fund of Funds
REAL ESTATE PORTFOLIO 2022, LP United States 805-3493831785 Private Equity Fund 485,787,450 0 Master Fund Fund of Funds
BB HOLDINGS AD, LP United States 805-8191863941 Other Private Fund SPECIAL PURPOSE VEHICLE 80,426,851 0 Fund of Funds
PRIVATE EQUITY PORTFOLIO 2022, LP United States 805-6877992483 Private Equity Fund 809,701,290 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2022, LP United States 805-5427733094 Private Equity Fund 71,193,000 0 Fund of Funds
BB HOLDINGS AA, LP United States 805-6479235453 Other Private Fund SPECIAL PURPOSE VEHICLE 311,200,005 0
BB HOLDINGS AB, LP United States 805-3290302759 Other Private Fund SPECIAL PURPOSE VEHICLE 124,803,421 0 Fund of Funds
BB HOLDINGS CS, LP United States 805-4748530378 Other Private Fund SPECIAL PURPOSE VEHICLE 21,000,000 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., SERIES ABB United States 805-5138178685 Private Equity Fund 374,126 100,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., P SERIES United States 805-9513013744 Private Equity Fund 332,901,623 242,972
ICONIQ ACCESS 61, LP United States 805-1259518915 Other Private Fund SPECIAL PURPOSE VEHICLE 53,960,783 200,000 Fund of Funds
ICONIQ ACCESS 23, LP United States 805-1575570999 Other Private Fund SPECIAL PURPOSE VEHICLE 69,924,942 100,000 Fund of Funds
ICONIQ ACCESS 44, LP United States 805-3556419880 Other Private Fund SPECIAL PURPOSE VEHICLE 12,771,622 100,000 Fund of Funds
ICONIQ ACCESS 40, LP United States 805-4644056867 Other Private Fund SPECIAL PURPOSE VEHICLE 20,333,093 150,000 Fund of Funds
ICONIQ ACCESS 46, LP United States 805-6114617584 Other Private Fund SPECIAL PURPOSE VEHICLE 24,752,051 200,000 Fund of Funds
ICONIQ ACCESS 32, LP United States 805-7905004517 Other Private Fund SPECIAL PURPOSE VEHICLE 20,503,875 200,000 Fund of Funds
ICONIQ ACCESS 64, LP United States 805-4067687275 Other Private Fund SPECIAL PURPOSE VEHICLE 26,546,726 200,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES P United States 805-4668038350 Private Equity Fund 163,471,465 250,266
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., EZ SERIES United States 805-3182882993 Private Equity Fund 26,736,032 170,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., FK-H SERIES United States 805-5301497225 Private Equity Fund 149,914 150,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC-B SERIES United States 805-8255526146 Private Equity Fund 21,729,768 750,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV United States 805-7014677596 Private Equity Fund 366,586,536 50,000
ICONIQ STRATEGIC PARTNERS III, L.P. Cayman Islands 805-3698984027 Private Equity Fund 5,863,450,324 10,000
BB HOLDINGS SC, L.P. United States 805-9581267329 Private Equity Fund 26,229,724 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2020, L.P. United States 805-8692899617 Private Equity Fund 263,247,365 0 Master Fund Fund of Funds
ICONIQ ACCESS 56, LP United States 805-8701337657 Other Private Fund SPECIAL PURPOSE VEHICLE 28,349,460 200,000 Fund of Funds
ICONIQ ACCESS 2, LP United States 805-4721007914 Other Private Fund SPECIAL PURPOSE VEHICLE 20,322,401 500,000
ICONIQ ACCESS 22, LP United States 805-9427842796 Other Private Fund SPECIAL PURPOSE VEHICLE 8,378 0 Fund of Funds
ICONIQ ACCESS 19, LP United States 805-9371115746 Other Private Fund SPECIAL PURPOSE VEHICLE 1,427,092 0 Fund of Funds
EMERGING MARKETS PORTFOLIO, L.P. United States 805-8623033848 Private Equity Fund 1,516,945,760 25,000 Fund of Funds
ICONIQ ACCESS 20, LP United States 805-5002561110 Other Private Fund SPECIAL PURPOSE VEHICLE 22,517,485 50,000 Fund of Funds
ICONIQ ACCESS 12, LP United States 805-4538279956 Other Private Fund SPECIAL PURPOSE VEHICLE 204,933,642 150,000 Fund of Funds
ICONIQ ACCESS 28, LP United States 805-2782762439 Other Private Fund SPECIAL PURPOSE VEHICLE 358,267 150,000 Fund of Funds
ICONIQ ACCESS 35, LP United States 805-6613364785 Other Private Fund SPECIAL PURPOSE VEHICLE 25,147,116 100,000 Fund of Funds
ICONIQ ACCESS 37, LP United States 805-7817343631 Other Private Fund SPECIAL PURPOSE VEHICLE 380,206,848 100,000 Fund of Funds
ICONIQ ACCESS 53, LP United States 805-7325612690 Other Private Fund SPECIAL PURPOSE VEHICLE 43,092,372 100,000 Fund of Funds
ICONIQ ACCESS 58, LP United States 805-1440879864 Other Private Fund SPECIAL PURPOSE VEHICLE 8,507 0 Fund of Funds
GLIDE PATH SOLUTIONS 2022, LP United States 805-3737498013 Hedge Fund 970,420,000 0 Master Fund Fund of Funds
BB HOLDINGS TO SP, LP United States 805-8458397379 Private Equity Fund 31,193,710 0 Fund of Funds
GLIDE PATH SOLUTIONS 2021 INTER, LP United States 805-4943161433 Hedge Fund 613,218,221 0 Fund of Funds
PRIVATE CREDIT PORTFOLIO 2022, LP United States 805-1323683033 Private Equity Fund 267,945,470 0 Master Fund Fund of Funds
PRIVATE REAL RETURN PORTFOLIO 2022, LP United States 805-9371225637 Private Equity Fund 40,907,000 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ES United States 805-9611658366 Private Equity Fund 199,439,226 5,000
ICQ OPPORTUNITIES FUND 8TY LP United States 805-7755052720 Other Private Fund SPECIAL PURPOSE VEHICLE 10,056,661 10,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES EP1 United States 805-1221441628 Private Equity Fund 71,719 5,000
ICQ INVESTMENTS 26, L.P. United States 805-9946942128 Other Private Fund SPECIAL PURPOSE VEHICLE 18,844,573 20,000
ICQ INVESTMENTS 4, L.P. United States 805-6059439592 Other Private Fund SPECIAL PURPOSE VEHICLE 420,337 5,000
PRIVATE REAL RETURN PORTFOLIO 2020, L.P. United States 805-4670019447 Private Equity Fund 35,888,353 0 Fund of Funds
ICQ HOLDINGS 4, LLC United States 805-4988291665 Other Private Fund SPECIAL PURPOSE VEHICLE 42,193,060 10,000,000 Fund of Funds
ICONIQ ACCESS LXIX, L.P. United States 805-6736862205 Other Private Fund SPECIAL PURPOSE VEHICLE 210,587,485 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV2 SERIES United States 805-7519378347 Private Equity Fund 9,499,952 150,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P., SERIES EP2 United States 805-1016864315 Private Equity Fund 78,616 25,499
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES HZE United States 805-8731209264 Private Equity Fund 100,313,343 16,000
ICQ INVESTMENTS 18, L.P. United States 805-3093711018 Other Private Fund SPECIAL PURPOSE VEHICLE 18,032,883 10,000
ICQ INVESTMENTS 2, L.P. United States 805-5884447817 Other Private Fund SPECIAL PURPOSE VEHICLE 71,908,807 12,000
ICQ INVESTMENTS 20, L.P. United States 805-1041085094 Other Private Fund SPECIAL PURPOSE VEHICLE 1,405,666 50,000
REAL ASSETS PORTFOLIO 2021, L.P. United States 805-3194609765 Private Equity Fund 355,589,970 0 Master Fund Fund of Funds
BB HOLDINGS OR, L.P. United States 805-2276925072 Private Equity Fund 23,718,298 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2021, L.P. United States 805-9240812916 Private Equity Fund 95,539,528 0 Fund of Funds
REAL ESTATE PORTFOLIO 2020, L.P. United States 805-4127514145 Private Equity Fund 394,291,596 0 Master Fund Fund of Funds
ICQ CVC 2019 A, L.P. United States 805-5030944635 Other Private Fund SPECIAL PURPOSE VEHICLE 164,009,752 75,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P. SERIES KC2 United States 805-2021818354 Private Equity Fund 50,940,788 50,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., SERIES KC-B 2 United States 805-3821108804 Private Equity Fund 99,623,117 250,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES HR United States 805-8030648805 Private Equity Fund 35,282,664 1,000,000
GLIDE PATH SOLUTIONS AIV 2021 INTER, LP United States 805-5779614426 Hedge Fund 16,693,858 0 Fund of Funds
GP INTERESTS PORTFOLIO 2021, LP United States 805-1513145893 Private Equity Fund 12,548,091 0 Fund of Funds
REAL ASSETS PORTFOLIO 2022, LP United States 805-3639181573 Private Equity Fund 333,065,470 0 Master Fund Fund of Funds
RE BB HOLDINGS CM, LP United States 805-1028263072 Other Private Fund SPECIAL PURPOSE VEHICLE 97,862,930 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AB SERIES United States 805-9736181124 Private Equity Fund 127,865,956 50,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES H United States 805-2608521106 Private Equity Fund 1,605,308 35,000
ICQ OPPORTUNITIES FUND AJ, L.P. United States 805-5625676102 Private Equity Fund 25,558,498 10,000
ICQ SPECIAL PURPOSE VEHICLE OC, L.P. Cayman Islands 805-9286115788 Other Private Fund SPECIAL PURPOSE VEHICLE 3,973,868 2,250,199
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH BLOCKER SERIES United States 805-5253938872 Private Equity Fund 27,170,844 700,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH SERIES United States 805-2831408974 Private Equity Fund 48,263,314 156,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES P United States 805-3256579289 Private Equity Fund 75,424,897 54,000
ICONIQ ACCESS LXVII, L.P. United States 805-5502505741 Other Private Fund SPECIAL PURPOSE VEHICLE 8,512,952 375,000 Fund of Funds
ICONIQ ACCESS LXVIII, L.P. United States 805-2969460431 Other Private Fund SPECIAL PURPOSE VEHICLE 58,225,391 15,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., DD SERIES United States 805-1293829622 Private Equity Fund 396,083,443 110,000
ICQ OPPORTUNITIES FUND WL2, LP United States 805-5882744374 Other Private Fund SPECIAL PURPOSE VEHICLE 30,539,337 7,500
ICONIQ STRATEGIC PARTNERS VI-B, L.P. Cayman Islands 805-5514829961 Private Equity Fund 2,772,763,021 10,000
ICONIQ STRATEGIC PARTNERS VI CO-INVEST FO, L.P United States 805-4864166059 Private Equity Fund 108,554,481 0
ICONIQ STRATEGIC PARTNERS VI CO-INVEST FO-B, L.P United States 805-5004108214 Private Equity Fund 52,377,303 0
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES RH United States 805-5591684488 Real Estate Fund 115,059,059 5,000
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ST United States 805-5618556555 Private Equity Fund 28,622,985 500,000
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ST2 United States 805-6898395015 Private Equity Fund 12,576,210 2,000,000
ICONIQ STRATEGIC PARTNERS VI CO-INVEST, L.P., SERIES BD United States 805-7851826635 Other Private Fund SPECIAL PURPOSE VEHICLE 174,695,622 10,000
ICQ OPPORTUNITIES FUND BR, LP United States 805-3469100431 Other Private Fund SPECIAL PURPOSE VEHICLE 5,140,076 5,000
ICQ OPPORTUNITIES FUND BR SPV, LP United States 805-7569907261 Other Private Fund SPECIAL PURPOSE VEHICLE 12,300,000 4,919,999
ICONIQ STRATEGIC PARTNERS VI, L.P. Cayman Islands 805-2553237114 Private Equity Fund 1,887,573,099 15,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV2 United States 805-6692042734 Private Equity Fund 26,241,081 249,784
ICQ CVC 2018 A, L.P. United States 805-3338263308 Other Private Fund SPECIAL PURPOSE VEHICLE 300,201,995 50,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2020, L.P. United States 805-8360554429 Private Equity Fund 455,312,887 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RH United States 805-6773910449 Private Equity Fund 33,361,472 200,006
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES SF United States 805-4846206302 Private Equity Fund 1,619,843,640 19,000
ICQ INVESTMENTS 13, L.P. United States 805-4360894630 Other Private Fund SPECIAL PURPOSE VEHICLE 5,678,714 12,500
EMERGING MARKETS PORTFOLIO FEEDER FUND, L.P. Cayman Islands 805-1749736531 Private Equity Fund 229,720,831 25,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES G United States 805-1315396269 Private Equity Fund 665,267 200,000
ICONIQ ACCESS 54, LP United States 805-1534852920 Other Private Fund SPECIAL PURPOSE VEHICLE 8,318,674 100,000 Fund of Funds
ICONIQ ACCESS 55, LP United States 805-5849417886 Other Private Fund SPECIAL PURPOSE VEHICLE 48,295,094 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV SERIES United States 805-4368107606 Private Equity Fund 4,666,304 82,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INT SERIES United States 805-2090516352 Private Equity Fund 8,172,303 68,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC SERIES United States 805-9040261218 Private Equity Fund 58,898,535 150,000
ICONIQ RESIDENTIAL PARTNERS FUND C, L.P. United States 805-9836580310 Real Estate Fund 382,410,951 50,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES F United States 805-6503567544 Private Equity Fund 655,223 12,500
ICONIQ DC FUND I FEEDER, L.P. United States 805-9214565390 Other Private Fund SPECIAL PURPOSE VEHICLE 256,798,698 5,000 Fund of Funds
ICONIQ DC FUND I FEEDER (TE), L.P. United States 805-5977818532 Other Private Fund SPECIAL PURPOSE VEHICLE 66,173,606 25,000 Fund of Funds
ICONIQ RESIDENTIAL PARTNERS FUND B, L.P. United States 805-6385587883 Real Estate Fund 192,011,841 15,000
ICQ INVESTMENTS AS, L.P. United States 805-3029359392 Other Private Fund SPECIAL PURPOSE VEHICLE 12,204,480 10,000
ICQ INVESTMENTS MMB, L.P. United States 805-7865832946 Other Private Fund SPECIAL PURPOSE VEHICLE 18,831,797 5,000
TACTICAL OPPORTUNITIES PORTFOLIO 2020, L.P. United States 805-5198216524 Private Equity Fund 1,241,486,298 0 Master Fund Fund of Funds
REAL ESTATE PORTFOLIO 2021, L.P. United States 805-5099495663 Private Equity Fund 549,485,943 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES FK-G United States 805-5312668028 Private Equity Fund 164,180 170,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INV3 SERIES United States 805-9145653458 Private Equity Fund 5,194,818 80,264
REAL ASSETS PORTFOLIO 2020, L.P. United States 805-1256877239 Private Equity Fund 204,570,969 0 Master Fund
IREP OPPORTUNITIES FUND I B, LP United States 805-7218699898 Real Estate Fund 1,000,483 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES M United States 805-5683161784 Private Equity Fund 672,870,529 2,522,811
ICONIQ ACCESS 60, LP United States 805-4574960319 Other Private Fund SPECIAL PURPOSE VEHICLE 52,993,594 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES C United States 805-3709972678 Private Equity Fund 120,263,407 5,000,000
ICQ CPE I-B, L.P. United States 805-2852433921 Other Private Fund SPECIAL PURPOSE VEHICLE 98,846,083 421,299 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO AIV, L.P. United States 805-8639068985 Private Equity Fund 22,375,475 0 Fund of Funds
ICONIQ ACCESS 63, LP United States 805-7065752593 Other Private Fund SPECIAL PURPOSE VEHICLE 117,740,145 150,000 Fund of Funds
VENTURE CAPITAL PORTFOLIO 2022, LP United States 805-6597154747 Private Equity Fund 422,762,460 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2020, L.P. United States 805-8664000870 Private Equity Fund 48,974,198 0 Fund of Funds
PUBLIC EQUITY TAIL HEDGE PORTFOLIO, L.P. United States 805-6547163985 Private Equity Fund 411,889,483 10,000 Fund of Funds
ICQ INVESTMENTS SY, L.P. United States 805-1131582338 Other Private Fund SPECIAL PURPOSE VEHICLE 5,339,649 25,000
CO-INVESTMENT PORTFOLIO 2021, L.P. United States 805-8045339678 Private Equity Fund 794,637,520 0 Master Fund Fund of Funds

ICONIQ CAPITAL, LLC

ownership team - last updated 2022-03-30
Name Title Start Date Direct/Indirect % Ownership
JESSE, JAMES, WILLIAM PRESIDENT 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PRESIDENT direct 2017-04-01
THORNE, LOUIS CHIEF OPERATING OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITY FINANCIAL INVESTMENT COMPANY LIMITED GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
FORTRESS ASIA MACRO ADVISORS LLC CHIEF OPERATING OFFICER direct 2014-01-01
CFIC (US) INC GLOBAL CHIEF OPERATING OFFICER direct 2016-11-01
CRAIG, JASON, BRIAN CHIEF COMPLIANCE OFFICER AND COUNSEL 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SANDLER O'NEIL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-06-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SANDLER O'NEILL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER, MEMBER direct 2010-04-01
FOSTER, KEVIN, NOEL MANAGING DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC CHIEF OPERATING OFFICER direct 2012-01-01
ICONIQ CAPITAL, LLC CHIEF OF STAFF direct 2012-01-01
ICONIQ DC MANAGEMENT, LLC CFO direct 2016-07-01
ANDERS, MICHAEL, THOMAS PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL GROUP, L.P. SOLE MEMBER 12/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC SOLE MEMBER direct 2011-12-01
ICONIQ DC MANAGEMENT, LLC SOLE MEMBER indirect 2011-12-01
MAKAN, DIVESH, KANTHYLAL PARTNER 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
GRIFFITH, WILLIAM, JOHN PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC PARTNER direct 2013-01-01
MAKAN, DIVESH, KANTHYLAL TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
MAKAN, DIVESH, KANTHYLAL SOLE MEMBER ICONIQ CAPITAL GROUP GP, LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC MANAGING MEMBER direct 2011-11-01
ICONIQ CAPITAL, LLC PARTNER direct 2011-11-01
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2011-12-01
ICONIQ CAPITAL, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC LIMITED PARTNER indirect 2011-12-01
IPI DATA CENTER PARTNERS MANAGEMENT, LLC SOLE MEMBER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC PARTNER direct 2016-07-01
Makan, Diksha TRUSTEE MAKAN FAMILY TRUST DTD 10/10/05 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC TRUSTEE indirect 2020-10-01
IPI PARTNERS, LLC TRUSTEE indirect 2020-10-01
ICONIQ MANAGEMENT HOLDINGS, LP LIMITED PARTNER ICONIQ CAPITAL GROUP, L.P. 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ FEEDER, LP LIMITED PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC LIMITED PARTNER indirect 2020-10-01
IPI PARTNERS, LLC LIMITED PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ CAPITAL GROUP, L.P. 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ MANAGEMENT HOLDINGS, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL GROUP GP, LLC GENERAL PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2013-12-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
IPI PARTNERS, LLC GENERAL PARTNER indirect 2020-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2020-10-01
MAKAN FAMILY TRUST DTD 10/10/05 LIMITED PARTNER ICONIQ FEEDER, LP 10/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BOBERSKI & CO PRESIDENT direct 1966-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
TRIAD INVESTMENT ADVISORS CORP PRESIDENT direct 1972-10-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN direct 1973-10-01
MYERSON VAN DEN BERG & CO TRUST OWNS ALL THE STOCK direct 1975-01-01
STANLEY D J & CO INC PRESIDENT & CEO, CFO, COO, CLO,CCO direct 1976-05-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. TREASURER direct 1977-06-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. TREASURER, FINOP direct 1978-08-01
MOORS & CABOT INVESTOR SERVICES INC PARENT indirect 1978-08-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
BURNEY CO CHAIRMAN direct 1981-04-01
FARALDI & PORRO INC PRESIDENT direct 1981-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
HANSSET GLOBAL ADVISORS CO., LTD. SHAREHOLDER direct 1989-08-01
VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
ATLANTIC CAPITAL MANAGEMENT LTD PRESIDENT direct 1989-12-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
SPECTRUM ASSET MANAGEMENT INC SHAREHOLDER direct 1990-01-01
SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
NOBLE PARTNERS, L.P. SHAREHOLDER indirect 1991-03-01
W R MAHOOD ASSET MANAGEMENT, INC. PRESIDENT direct 1991-04-01
TYREE, DAVID W. PRESIDENT direct 1991-04-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
HONISS ROBIN OWNER direct 1993-01-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-05-01
NOVARE CAPITAL MANAGEMENT MEMBER indirect 1995-05-01
SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
STAMPS, WOODSUM & CO. IV LIMITED PARTNER direct 1995-06-01
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
POPULAR SECURITIES, INC. DIRECTOR direct 1995-08-01
NBC SECURITIES, INC. VICE PRESIDENT direct 1995-08-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
SIFE DIRECTOR/OWNER direct 1995-12-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
DE PRINCE, RACE & ZOLLO, INC. SHAREHOLDER direct 1998-03-01
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1998-05-01
BNY ASSOCIATES INCORPORATED DIRECTOR direct 1998-05-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
PRIVATE PORTFOLIO OF SAN DIEGO, INC. VICE PRESIDENT direct 1998-06-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1988-08-01 2000-11-09
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1995-03-01 2000-11-09
FSC SECURITIES CORPORATION DIRECTOR/CHAIRMAN direct 1997-10-01 2000-12-15
J. BUSH & CO., INCORPORATED DIRECTOR direct 1970-09-01 2001-01-29
J. BUSH & CO., INCORPORATED EXECUTIVE VICE PRESIDENT direct 1998-03-01 2001-01-29
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
CHASE INVESTMENT SERVICES CORP. DIRECTOR direct 1998-09-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
TREECE INVESTMENT ADVISORY CORP PRESIDENT, DIRECTOR, SECT, TREASURER direct 1979-08-01 2001-03-23
COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-06-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
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SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
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STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
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THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
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ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
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ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
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TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
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COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
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FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
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AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
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FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
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GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
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LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
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AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
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ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
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METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
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COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
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COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
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THE DE BURLO GROUP,INC. SECRETARY direct 1987-10-01 2003-03-18
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THE DE BURLO GROUP,INC. SENIOR VICE PRESIDENT direct 1996-03-01 2003-03-18
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ATLANTIC CAPITAL MANAGEMENT LTD CORPORATE SECRETARY direct 1992-04-01 2003-03-31
FIRST WESTERN ADVISORS PRESIDENT direct 1997-10-01 2003-04-02
J. BUSH & CO., INCORPORATED PRESIDENT / DIRECTOR direct 1998-03-01 2003-04-03
HORNOR, TOWNSEND & KENT, INC. DIRECTOR direct 1998-05-01 2003-04-08
BERGER & ASSOCIATES LLC MANAGING DIRECTOR direct 1997-04-01 2003-04-16
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TWEEDY, BROWNE COMPANY LLC MANAGING DIRECTOR direct 1997-10-01 2003-05-07
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MECHTENBERG FINANCIAL GROUP INC SHAREHOLDER direct 1980-01-01 2003-07-14
DEVON ADVISORS INC PRESIDENT direct 1998-07-01 2003-07-30
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1991-01-01 2003-08-06
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L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1993-01-01 2003-08-28
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1996-01-01 2003-08-28
CHARLES SCHWAB & CO., INC. SENIOR VICE PRESIDENT - GENERAL COUNSEL direct 1997-07-01 2003-09-11
METROPOLITAN LIFE INSURANCE COMPANY SENIOR VICE PRESIDENT direct 1998-03-01 2003-09-17
THE DANFORTH ASSOCIATES, INC CHAIRMAN & DIRECTOR direct 1949-01-01 2003-09-25
THE DANFORTH ASSOCIATES, INC PRESIDENT & DIRECTOR direct 1994-08-01 2003-09-25
MONEY CONCEPTS CAPITAL CORP CHAIRMAN direct 1982-06-01 2003-10-27
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ARTISAN PARTNERS LIMITED PARTNERSHIP GENERAL PARTNER OF SUTTER HILL PARTNERS L.P. indirect 1995-01-01 2003-11-18
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ARTISAN PARTNERS LIMITED PARTNERSHIP LIMITED PARTNER OF SUTTER HILL PARTNERS L.P. indirect 1998-01-01 2003-11-18
ARTISAN PARTNERS LIMITED PARTNERSHIP GENERAL PARTNER OF SUTTER HILL PARTNERS L.P. indirect 1998-01-01 2003-11-18
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1992-12-01 2003-12-17
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT direct 1997-09-01 2003-12-18
CAPITAL MANAGEMENT CONSULTING, LLC CO-PRESIDENT direct 1996-07-01 2004-01-02
SUCCESSFUL MONEY STRATEGIES INC PRESIDENT direct 1993-03-01 2004-01-07
WARFIELD ASSOCIATES, INC. CORPORATE SECRETARY direct 1988-11-01 2004-01-13
BJURMAN, BARRY & ASSOCIATES SHAREHOLDER direct 1998-03-01 2004-01-15
TRF INVESTMENTS INC PRESIDENT direct 1992-03-01 2004-01-20
PPS & V ASSET MANAGEMENT CONSULTANTS INC PRESIDENT direct 1991-09-01 2004-01-22
AMERISTOCK CORP SHAREHOLDER direct 1995-06-01 2004-02-03
MADISON PORTFOLIO CONSULTANTS INC. PRESIDENT, DIRECTOR direct 1990-12-01 2004-02-26
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TOWER EQUITIES, INC. TRUSTEE OF JUDITH D BON REVOCABLE LIVING TRUST direct 1992-12-01 2004-03-25
FRANK RUSSELL CAPITAL INC. GENERAL COUNSEL, SECRETARY, DIRECTOR direct 1994-11-01 2004-03-25
FISHMAN JAY A LTD PRESIDENT direct 1983-09-01 2004-03-26
BAXTER FINANCIAL CORPORATION SECRETARY direct 1989-04-01 2004-03-26
SPRING CREEK INVESTMENT ADVISORS, INC. PRESIDENT direct 1994-10-01 2004-03-26
ORION CAPITAL MANAGEMENT INC PRESIDENT direct 1991-05-01 2004-03-29
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER AND SENIOR MANAGING DIRECTOR direct 1996-07-01 2004-03-29
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND SENIOR PORTFOLIO MANAGER direct 1996-07-01 2004-03-29
ORION CAPITAL MANAGEMENT INC SECRETARY/TREASURER direct 1997-01-01 2004-03-29
LAFAYETTE INVESTMENTS, INC. SECRETARY direct 1988-05-01 2004-03-30
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-12-01 2004-03-30
TAKAKI CLOSE & ASSOCIATES, LTD. PRESIDENT direct 1993-04-01 2004-03-30
TAKAKI CLOSE & ASSOCIATES, LTD. DIRECTOR direct 1993-04-01 2004-03-30
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ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-11-01 2004-03-31
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-PFD, & DIRECTOR direct 1994-02-01 2004-03-31
COMMERCE CAPITAL MARKETS, INC. SENIOR VP/DIRECTOR direct 1998-03-01 2004-03-31
COMMERCE CAPITAL MARKETS, INC. CFO/SECRETARY/FINOP direct 1998-09-01 2004-03-31
AMERICAN INVESTMENT SERVICES INC BOARD CHAIRMAN & DIRECTOR direct 1998-10-01 2004-03-31
COMMERCE CAPITAL MARKETS, INC. COMPLIANCE OFFICER direct 1998-11-01 2004-03-31
COOPER LARRY CLARK SOLE PROPRIETOR direct 1983-10-01 2004-04-02
C.E. UNTERBERG, TOWBIN LLC PRESIDENT indirect 1989-05-01 2004-04-22
MORSE WILLIAMS & CO. INC. MANAGING DIRECTOR direct 1992-05-01 2004-04-29
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WILLIAM MANN CO INC PRESIDENT direct 1989-05-01 2004-06-22
CAPITAL BUILDERS ADVISORY SERVICES INC DIRECTOR/PRESIDENT direct 1977-01-01 2004-06-29
SUCCESSFUL MONEY STRATEGIES INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-03-01 2004-07-06
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LEGACY FINANCIAL GROUP, INC. PRESIDENT AND DIRECTOR direct 1998-11-01 2004-08-03
SAFECO INVESTMENT SERVICES, INC. ASSISTANT SECRETARY direct 1998-02-01 2004-08-05
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PRIMECAP MANAGEMENT CO VICE CHAIRMAN direct 1983-09-01 2004-10-26
PRIMECAP MANAGEMENT CO PRESIDENT direct 1983-09-01 2004-10-26
PRIMECAP MANAGEMENT CO EXECUTIVE VICE PRESIDENT direct 1986-07-01 2004-10-26
CAPITAL MANAGEMENT ASSOCIATES INC PRESIDENT direct 1996-04-01 2004-11-02
CAPITAL MANAGEMENT ASSOCIATES INC SECRETARY/TREASURER direct 1996-04-01 2004-11-02
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WILEN MANAGEMENT CO INC SECRETARY/TREASURER direct 1984-07-01 2005-02-03
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ASSET MANAGEMENT ADVISORS, LLC EXECUTIVE MANAGER direct 1996-03-01 2005-03-03
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CARDINAL CAPITAL MANAGEMENT INC CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER direct 1992-01-01 2005-03-28
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SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF OPERATING OFFICER direct 1998-05-01 2005-03-30
STANLEY D J & CO INC PRESIDENT direct 1976-05-01 2005-03-31
AMERICAN BEACON ADVISORS, INC. VICE PRESIDENT & CHIEF LEGAL OFFICER direct 1995-07-01 2005-03-31
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-08-01 2005-03-31
REGISTER & AKERS INVESTMENTS, INC. VICE PRESIDENT direct 1997-04-01 2005-03-31
OCCAM CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 1998-07-01 2005-03-31
REAL ESTATE RESEARCH CORP CEO direct 1996-12-01 2005-04-08
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1988-01-01 2005-05-02
J. BUSH & CO., INCORPORATED CHAIRMAN, CHIEF EXECUTIVE OFFICER direct 1970-07-01 2005-05-06
J. BUSH & CO., INCORPORATED DIRECTOR direct 1997-10-01 2005-05-06
J. BUSH & CO., INCORPORATED SHAREHOLDER indirect 1997-10-01 2005-05-06
MBIA CAPITAL MANAGEMENT CORP. TREASURER AND DIRECTOR direct 1994-01-01 2005-05-13
MBIA CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR direct 1998-02-01 2005-05-13
FIRST WESTERN ADVISORS FINOPS PRINCIPAL direct 1997-10-01 2005-05-19
FIRST WESTERN ADVISORS VP/EXECUTIVE OFFICER direct 1997-10-01 2005-05-19
BORTHWICK ASSOCIATES, INC. SECRETARY/TREASURER direct 1982-01-01 2005-05-24
J. BUSH & CO., INCORPORATED PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN AND CHIEF COMPLIANCE OFFICER direct 1970-07-01 2005-06-06
FERGUSON INVESTMENT CONSULTANTS INC VICE PRESIDENT direct 1988-06-01 2005-06-14
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1992-07-01 2005-06-16
LEIST ALAN R PLANNING GROUP INC PRESIDENT indirect 1998-09-01 2005-06-20
LEIST ALAN R PLANNING GROUP INC PRESIDENT direct 1998-09-01 2005-06-20
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT direct 1993-04-01 2005-06-29
RUNDE $ CO INCORPORATED PRESIDENT direct 1992-11-01 2005-06-30
THE PEACH CORPORATION PRESIDENT direct 1996-01-01 2005-07-21
GALOVICH FINANCIAL PLANNING SERVICES INC COMPLIANCE OFFICER direct 1985-06-01 2005-08-03
JONAS BRITTAIN GLENN INC. PRESIDENT direct 1998-08-01 2005-08-15
HART ADVISERS INC CHAIRMAN/CEO direct 1987-12-01 2005-08-16
HART ADVISERS INC PRESIDENT AND COO direct 1987-12-01 2005-08-16
HART ADVISERS INC EXECUTIVE VICE PRESIDENT direct 1987-12-01 2005-08-16
KARK M Z & ASSOCIATES INC 97.5% SHAREHOLDER direct 1989-07-01 2005-09-06
BILLEAUD CAPITAL MANAGEMENT INC PRESIDENT direct 1991-10-01 2005-09-06
BILLEAUD CAPITAL MANAGEMENT INC PRESIDENT & CHIEF COMPLIANCE OFFICER direct 1991-10-01 2005-09-06
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 1998-05-01 2005-09-07
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CCO FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2005-09-12
CHECK CAPITAL MANAGEMENT INC PRESIDENT direct 1990-01-01 2005-09-15
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1986-12-01 2005-09-16
STEPHENS INC. SHAREHOLDER COMMON A indirect 1988-01-01 2005-09-16
CAPITAL BUILDERS ADVISORY SERVICES INC DIRECTOR direct 1977-01-01 2005-09-20
CAPITAL BUILDERS ADVISORY SERVICES INC DIRECTOR/CCO/PRESIDENT direct 1977-01-01 2005-09-20
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 1986-02-01 2005-09-21
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 1992-07-01 2005-09-30
FRANK RUSSELL CAPITAL INC. GENERAL COUNSEL, SECRETARY direct 1994-11-01 2005-10-14
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER indirect 1995-05-01 2005-10-14
AMERICAN INSTITUTIONAL REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2005-10-14
REDSTONE CONSULTING LLC LIMITED PARTNER indirect 1998-08-01 2005-10-31
LINSCO/PRIVATE LEDGER CORP. DIRECTOR direct 1989-04-01 2005-11-29
PPS & V ASSET MANAGEMENT CONSULTANTS INC CHIEF COMPLIANCE OFFICER direct 1991-09-01 2005-12-05
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CCO direct 1978-08-01 2005-12-07
LEIST ALAN R PLANNING GROUP INC PRESIDENT/SECRETARY indirect 1998-09-01 2005-12-08
LEIST ALAN R PLANNING GROUP INC PRESIDENT/SECRETARY direct 1998-09-01 2005-12-08
MUHLENKAMP & CO INC DIRECTOR/PRESIDENT direct 1981-08-01 2005-12-20
MUHLENKAMP & CO INC DIRECTOR direct 1982-07-01 2005-12-20
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR, CHAIRMAN OF THE BOARD direct 1990-05-01 2006-01-05
GREAT LAKES ADVISORS, INC. DIRECTOR direct 1996-10-01 2006-01-05
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1990-05-01 2006-01-06
LANCZ ALAN B & ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 1985-03-01 2006-01-19
JONAS BRITTAIN GLENN INC. PRESIDENT-CHIEF COMPLIANCE OFFICER direct 1998-08-01 2006-01-19
LATEEF MANAGEMENT ASSOCIATES GENERAL PARTNER direct 1974-01-01 2006-01-23
LATEEF MANAGEMENT ASSOCIATES GENERAL/LIMITED PARTNER direct 1994-01-01 2006-01-23
MOODY ALDRICH & SULLIVAN LLC MEMBER direct 1988-06-01 2006-01-27
MOODY ALDRICH & SULLIVAN LLC MEMBER direct 1992-12-01 2006-01-27
AMERICAN INVESTMENT SERVICES INC VICE PRESIDENT direct 1984-03-01 2006-02-01
HARRELL ROBERT INCORPORATED CHIEF EXECUTIVE OFFICER direct 1991-07-01 2006-02-01
HARRELL ROBERT INCORPORATED VICE PRESIDENT, SECRETARY, TREASURER direct 1991-07-01 2006-02-01
TREGER & ASSOCIATES LLC PRINCIPAL AND CHIEF COMPLIANCE OFFICER direct 1992-08-01 2006-02-01
TREGER & ASSOCIATES LLC PRINCIPAL direct 1992-08-01 2006-02-01
NVNG INVESTMENTS INC CHIEF COMPLIANCE OFFICER direct 1994-01-01 2006-02-02
REAL ESTATE RESEARCH CORP CEO/CCO direct 1996-12-01 2006-02-08
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & CEO direct 1988-08-01 2006-02-10
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. PRESIDENT & COO direct 1990-12-01 2006-02-10
WHITEGATE INVESTMENT COUNSELORS INC SOLE SHAREHOLDER direct 1998-07-01 2006-02-10
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1996-12-01 2006-02-13
RANDALL PAUL MARTIN SOLE PROP direct 1992-12-01 2006-02-17
GALOVICH FINANCIAL PLANNING SERVICES INC CHIEF COMPLIANCE OFFICER direct 1985-06-01 2006-02-21
FINCH JAMES AUSTIN III PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 1994-12-01 2006-02-21
ADVISORY ONE, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-08-01 2006-03-01
DOWSE SECURITIES MANAGEMENT CORP PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1978-04-01 2006-03-20
LEE KRASNER GROUP LTD PRESIDENT/TREASURER, CHIEF COMPLIANCE OFFICER direct 1993-10-01 2006-03-20
MOODY INVESTMENT ADVISORS, INC. PRESIDENT AND COMPLIANCE OFFICER direct 1995-01-01 2006-03-20
RUNDE $ CO INCORPORATED VICE PRESIDENT direct 1992-11-01 2006-03-21
RUNDE & CO. LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1992-11-01 2006-03-21
VARIABLE ANNUITY LIFE INSURANCE CO PARENT COMPANY indirect 1969-01-01 2006-03-24
SPRING CREEK INVESTMENT ADVISORS, INC. PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1994-10-01 2006-03-27
HAMILTON ADVISORS INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1981-01-01 2006-03-28
DFC FINANCIAL GROUP INC PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1983-01-01 2006-03-28
SPECTRUM CAPITAL MANAGEMENT GENERAL PARTNER/CHIEF COMPLIANCE OFFICER direct 1987-01-01 2006-03-28
OCCAM CAPITAL MANAGEMENT, LLC CEO/CCO/CFO/CLO direct 1998-07-01 2006-03-29
POPULAR SECURITIES, INC. PRESIDENT & CEO direct 1995-05-01 2006-03-30
SYSTEMATIC FINANCIAL MANAGEMENT LP CONSULTANT direct 1998-05-01 2006-03-30
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A & B SHARES direct 1983-03-01 2006-03-31
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A SHARES direct 1985-03-01 2006-03-31
BOXER LAURA JUDITH OWNER/CHIEF COMPLIANCE OFFICER direct 1986-01-01 2006-03-31
AMR INVESTMENT SERVICES, INC PRESIDENT & DIRECTOR direct 1986-11-01 2006-03-31
AMR INVESTMENT SERVICES, INC VICE PRESIDENT direct 1988-08-01 2006-03-31
FAGAN ASSOCIATES INC PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1989-08-01 2006-03-31
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CCO direct 1993-04-01 2006-03-31
DIBIASE & RUSCETTI ASSOCIATES, INC. TREASURER direct 1994-06-01 2006-03-31
DIBIASE & RUSCETTI ASSOCIATES, INC. PRESIDENT direct 1994-06-01 2006-03-31
AMR INVESTMENT SERVICES, INC VICE PRESIDENT direct 1995-05-01 2006-03-31
AMR INVESTMENT SERVICES, INC TREASURER direct 1995-05-01 2006-03-31
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR, VICE PRESIDENT direct 1994-06-01 2006-04-22
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2006-05-15
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2006-06-21
STEPHENS INC. TRUSTEE indirect 1985-01-01 2006-07-21
STEPHENS INC. TRUSTEE indirect 1995-03-01 2006-07-21
STEPHENS INC. SHAREHOLDER COMMON A indirect 1997-01-01 2006-07-21
STRAND, ATKINSON, WILLIAMS & YORK, INC. PRESIDENT AND CEO, UMPQUA HOLDINGS CORP. direct 1994-06-01 2006-10-02
STRAND, ATKINSON, WILLIAMS & YORK, INC. EVP AND CHIEF FINANCIAL OFFICER, UMPQUA HOLDINGS CORP direct 1997-11-01 2006-10-02
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2006-10-05
UVEST FINANCIAL SERVICES GROUP, INC. DIRECTOR direct 1996-03-01 2006-10-16
AMP CAPITAL REDDING INVESTORS (US) LIMITED MEMBER indirect 1998-11-01 2006-11-15
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2006-12-19
ORLEANS CAPITAL MANAGEMENT CORP DIRECT OWNER-COMMON direct 1991-11-01 2007-02-02
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1994-02-01 2007-02-02
ORLEANS CAPITAL MANAGEMENT CORP DIRECT OWNER-PREFERRED direct 1997-08-01 2007-02-02
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-01-01 2007-02-08
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/PRESIDENT/TREASURER direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. SHAREHOLDER/DIRECTOR/SECRETARY direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. SHAREHOLDER/CHAIRMAN EMERITUS direct 1990-05-01 2007-02-09
GREAT LAKES ADVISORS, INC. DIRECTOR direct 1991-04-01 2007-02-09
A. G. EDWARDS & SONS, INC. CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT direct 1980-06-01 2007-02-16
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1994-01-01 2007-02-27
MAXWELL NOLL INC DIRECTOR direct 1988-07-01 2007-03-01
HART REALTY ADVISERS, INC. MANAGING PARTNER--INVESTMENT TRANSACTIONS direct 1987-12-01 2007-03-02
THE MILLER FINANCIAL GROUP, INC. TRUSTEE indirect 1992-04-01 2007-03-09
ORGANIC CAPITAL MANAGEMENT INC PRESIDENT direct 1998-02-01 2007-03-23
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1987-05-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-09-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1997-04-01 2007-03-28
THE PORTOLA GROUP INC SHAREHOLDER direct 1997-06-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY PRESIDENT, INDIVIDUAL BUSINESS direct 1998-03-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VENTURE CAPITAL PORTFOLIO 2020, L.P. United States 805-7744735470 Private Equity Fund 350,409,951 0 Master Fund Fund of Funds
TACTICAL OPPORTUNITIES PORTFOLIO AIV 2020, L.P. United States 805-2870345159 Private Equity Fund 116,857,473 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2021, L.P. United States 805-1709569242 Private Equity Fund 407,588,701 0 Master Fund Fund of Funds
PRIVATE EQUITY PORTFOLIO 2021, L.P. United States 805-4600510785 Private Equity Fund 849,067,893 0 Master Fund Fund of Funds
PRIVATE REAL RETURN PORTFOLIO 2021, L.P. United States 805-1736656600 Private Equity Fund 60,301,850 0 Fund of Funds
ICQ CPE 2019 A-2, L.P. United States 805-3167460299 Other Private Fund SPECIAL PURPOSE VEHICLE 343,180,850 500,000 Fund of Funds
ICONIQ ACCESS 39, LP United States 805-1270270409 Other Private Fund SPECIAL PURPOSE VEHICLE 19,991,966 92,991 Fund of Funds
ABSOLUTE RETURN PORTFOLIO, LP United States 805-7140500264 Private Equity Fund 465,721,173 27,500 Fund of Funds
ICQ HOLDINGS 5, LLC United States 805-9611306400 Other Private Fund SPECIAL PURPOSE VEHICLE 83,559,362 20,000,000 Fund of Funds
ICONIQ ACCESS 57, LP United States 805-5162124605 Other Private Fund SPECIAL PURPOSE VEHICLE 7,900,756 11,500 Fund of Funds
ICONIQ ACCESS 17, LP United States 805-1151912246 Other Private Fund SPECIAL PURPOSE VEHICLE 181,223,225 75,000 Fund of Funds
ICONIQ ACCESS 2, LP United States 805-4721007914 Other Private Fund SPECIAL PURPOSE VEHICLE 20,322,401 500,000
ICONIQ ACCESS 22, LP United States 805-9427842796 Other Private Fund SPECIAL PURPOSE VEHICLE 8,378 0 Fund of Funds
ICONIQ ACCESS 19, LP United States 805-9371115746 Other Private Fund SPECIAL PURPOSE VEHICLE 1,427,092 0 Fund of Funds
ICONIQ ACCESS 56, LP United States 805-8701337657 Other Private Fund SPECIAL PURPOSE VEHICLE 28,349,460 200,000 Fund of Funds
EMERGING MARKETS PORTFOLIO, L.P. United States 805-8623033848 Private Equity Fund 1,516,945,760 25,000 Fund of Funds
ICONIQ ACCESS 20, LP United States 805-5002561110 Other Private Fund SPECIAL PURPOSE VEHICLE 22,517,485 50,000 Fund of Funds
ICONIQ ACCESS 12, LP United States 805-4538279956 Other Private Fund SPECIAL PURPOSE VEHICLE 204,933,642 150,000 Fund of Funds
ICONIQ ACCESS 28, LP United States 805-2782762439 Other Private Fund SPECIAL PURPOSE VEHICLE 358,267 150,000 Fund of Funds
ICONIQ ACCESS 35, LP United States 805-6613364785 Other Private Fund SPECIAL PURPOSE VEHICLE 25,147,116 100,000 Fund of Funds
ICONIQ ACCESS 37, LP United States 805-7817343631 Other Private Fund SPECIAL PURPOSE VEHICLE 380,206,848 100,000 Fund of Funds
ICONIQ ACCESS 53, LP United States 805-7325612690 Other Private Fund SPECIAL PURPOSE VEHICLE 43,092,372 100,000 Fund of Funds
ICONIQ ACCESS 58, LP United States 805-1440879864 Other Private Fund SPECIAL PURPOSE VEHICLE 8,507 0 Fund of Funds
ICQ CVC 2018 A, L.P. United States 805-3338263308 Other Private Fund SPECIAL PURPOSE VEHICLE 300,201,995 50,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2020, L.P. United States 805-8360554429 Private Equity Fund 455,312,887 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RH United States 805-6773910449 Private Equity Fund 33,361,472 200,006
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV2 United States 805-6692042734 Private Equity Fund 26,241,081 249,784
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES SF United States 805-4846206302 Private Equity Fund 1,619,843,640 19,000
ICQ INVESTMENTS 13, L.P. United States 805-4360894630 Other Private Fund SPECIAL PURPOSE VEHICLE 5,678,714 12,500
EMERGING MARKETS PORTFOLIO FEEDER FUND, L.P. Cayman Islands 805-1749736531 Private Equity Fund 229,720,831 25,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES G United States 805-1315396269 Private Equity Fund 665,267 200,000
ICONIQ ACCESS 54, LP United States 805-1534852920 Other Private Fund SPECIAL PURPOSE VEHICLE 8,318,674 100,000 Fund of Funds
ICONIQ ACCESS 55, LP United States 805-5849417886 Other Private Fund SPECIAL PURPOSE VEHICLE 48,295,094 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV SERIES United States 805-4368107606 Private Equity Fund 4,666,304 82,000
ICONIQ DC FUND I FEEDER, L.P. United States 805-9214565390 Other Private Fund SPECIAL PURPOSE VEHICLE 256,798,698 5,000 Fund of Funds
ICONIQ DC FUND I FEEDER (TE), L.P. United States 805-5977818532 Other Private Fund SPECIAL PURPOSE VEHICLE 66,173,606 25,000 Fund of Funds
ICONIQ RESIDENTIAL PARTNERS FUND B, L.P. United States 805-6385587883 Real Estate Fund 192,011,841 15,000
ICQ INVESTMENTS AS, L.P. United States 805-3029359392 Other Private Fund SPECIAL PURPOSE VEHICLE 12,204,480 10,000
ICQ INVESTMENTS MMB, L.P. United States 805-7865832946 Other Private Fund SPECIAL PURPOSE VEHICLE 18,831,797 5,000
TACTICAL OPPORTUNITIES PORTFOLIO 2020, L.P. United States 805-5198216524 Private Equity Fund 1,241,486,298 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INT SERIES United States 805-2090516352 Private Equity Fund 8,172,303 68,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC SERIES United States 805-9040261218 Private Equity Fund 58,898,535 150,000
ICONIQ RESIDENTIAL PARTNERS FUND C, L.P. United States 805-9836580310 Real Estate Fund 382,410,951 50,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES F United States 805-6503567544 Private Equity Fund 655,223 12,500
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P. SERIES FK-G United States 805-5312668028 Private Equity Fund 164,180 170,000
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., INV3 SERIES United States 805-9145653458 Private Equity Fund 5,194,818 80,264
REAL ASSETS PORTFOLIO 2020, L.P. United States 805-1256877239 Private Equity Fund 204,570,969 0 Master Fund
REAL ESTATE PORTFOLIO 2021, L.P. United States 805-5099495663 Private Equity Fund 549,485,943 0 Master Fund Fund of Funds
ICQ CPE I-B, L.P. United States 805-2852433921 Other Private Fund SPECIAL PURPOSE VEHICLE 98,846,083 421,299 Fund of Funds
IREP OPPORTUNITIES FUND I B, LP United States 805-7218699898 Real Estate Fund 1,000,483 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES M United States 805-5683161784 Private Equity Fund 672,870,529 2,522,811
ICONIQ ACCESS 60, LP United States 805-4574960319 Other Private Fund SPECIAL PURPOSE VEHICLE 52,993,594 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES C United States 805-3709972678 Private Equity Fund 120,263,407 5,000,000
PRIVATE DIVERSIFIERS PORTFOLIO AIV, L.P. United States 805-8639068985 Private Equity Fund 22,375,475 0 Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2020, L.P. United States 805-8664000870 Private Equity Fund 48,974,198 0 Fund of Funds
PUBLIC EQUITY TAIL HEDGE PORTFOLIO, L.P. United States 805-6547163985 Private Equity Fund 411,889,483 10,000 Fund of Funds
ICQ INVESTMENTS SY, L.P. United States 805-1131582338 Other Private Fund SPECIAL PURPOSE VEHICLE 5,339,649 25,000
CO-INVESTMENT PORTFOLIO 2021, L.P. United States 805-8045339678 Private Equity Fund 794,637,520 0 Master Fund Fund of Funds
ICONIQ ACCESS 63, LP United States 805-7065752593 Other Private Fund SPECIAL PURPOSE VEHICLE 117,740,145 150,000 Fund of Funds
ICONIQ ACCESS 27, LP United States 805-7367552408 Other Private Fund SPECIAL PURPOSE VEHICLE 9,251,289 150,000 Fund of Funds
ICONIQ ACCESS 59, LP United States 805-2664210898 Other Private Fund SPECIAL PURPOSE VEHICLE 20,178,968 335,000 Fund of Funds
ICQ HOLDINGS 6, LLC United States 805-9779895302 Other Private Fund SPECIAL PURPOSE VEHICLE 97,474,226 20,000,000 Fund of Funds
ICONIQ ACCESS 8 LP United States 805-4334942083 Other Private Fund SPECIAL PURPOSE VEHICLE 2,959,186 50,000 Fund of Funds
ICONIQ ACCESS 36, LP United States 805-3603180013 Other Private Fund SPECIAL PURPOSE VEHICLE 750 0 Fund of Funds
ICONIQ ACCESS 14, LP United States 805-2097429217 Other Private Fund SPECIAL PURPOSE VEHICLE 10,745,850 50,000 Fund of Funds
ICONIQ ACCESS 31, LP United States 805-1815394975 Other Private Fund SPECIAL PURPOSE VEHICLE 16,678,522 100,000 Fund of Funds
ICONIQ ACCESS 38, LP United States 805-1367690586 Other Private Fund SPECIAL PURPOSE VEHICLE 33,455,407 750,000 Fund of Funds
ICONIQ ACCESS 51, LP United States 805-7180425897 Other Private Fund SPECIAL PURPOSE VEHICLE 16,886,935 0 Fund of Funds
ICONIQ ACCESS 26, LP United States 805-2863662427 Other Private Fund SPECIAL PURPOSE VEHICLE 70,389,330 100,000 Fund of Funds
GLIDE PATH SOLUTIONS 2020, L.P. United States 805-3873764345 Private Equity Fund 1,176,404,910 0 Master Fund Fund of Funds
ICONIQ ACCESS 24, LP United States 805-1320871756 Other Private Fund SPECIAL PURPOSE VEHICLE 32,158,854 100,000 Fund of Funds
ICONIQ ACCESS 25, LP United States 805-9620864190 Other Private Fund SPECIAL PURPOSE VEHICLE 89,777,370 150,000 Fund of Funds
ICONIQ ACCESS 47, LP United States 805-9854940897 Other Private Fund SPECIAL PURPOSE VEHICLE 14,840,398 68,229 Fund of Funds
ICONIQ ACCESS 49, LP United States 805-7734250797 Other Private Fund SPECIAL PURPOSE VEHICLE 88,613,318 100,000 Fund of Funds
ICONIQ ACCESS 43, LP United States 805-5153353895 Other Private Fund SPECIAL PURPOSE VEHICLE 25,731,816 100,000 Fund of Funds
ICONIQ ACCESS 42, LP United States 805-1346603753 Other Private Fund SPECIAL PURPOSE VEHICLE 48,890,999 1,350,000 Fund of Funds
ICQ INVESTMENTS 7, L.P. United States 805-1280369386 Other Private Fund SPECIAL PURPOSE VEHICLE 25,300,886 15,000
ICQ HOLDINGS AT, LLC United States 805-8279806103 Other Private Fund SPECIAL PURPOSE VEHICLE 173,744,892 35,000,000 Fund of Funds
CO-INVESTMENT PORTFOLIO 2022, LP United States 805-6574756457 Private Equity Fund 650,139,250 0 Master Fund Fund of Funds
ICONIQ ACCESS 1, LP United States 805-6484743796 Other Private Fund SPECIAL PURPOSE VEHICLE 7,955 0 Fund of Funds
ICONIQ ACCESS 52, LP United States 805-3003712417 Other Private Fund SPECIAL PURPOSE VEHICLE 23,890,400 200,000 Fund of Funds
ICQ HOLDINGS ITEURA, LLC Cayman Islands 805-1742872981 Other Private Fund SPECIAL PURPOSE VEHICLE 92,173,770 20,000,000 Fund of Funds
ICQ INVESTMENTS PG, L.P. United States 805-6019092741 Other Private Fund SPECIAL PURPOSE VEHICLE 2,800,000 10,000
ICQ INVESTMENTS RS, L.P. United States 805-1683346552 Other Private Fund SPECIAL PURPOSE VEHICLE 16,143,500 2,000
GLIDE PATH SOLUTIONS 2021, L.P. United States 805-5154339739 Private Equity Fund 1,909,930,615 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND NL, L.P. United States 805-6287539276 Other Private Fund SPECIAL PURPOSE VEHICLE 17,039,651 5,000
VENTURE CAPITAL PORTFOLIO 2021, L.P. United States 805-3879778105 Private Equity Fund 465,622,731 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND OC, L.P. United States 805-6957975601 Private Equity Fund 64,034,051 10,000
ICONIQ ACCESS 62, LP United States 805-4914918854 Other Private Fund SPECIAL PURPOSE VEHICLE 189,080,298 100,000 Fund of Funds
ICONIQ ACCESS 66 LP United States 805-9401725145 Other Private Fund SPECIAL PURPOSE VEHICLE 14,032,069 250,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., P SERIES United States 805-9513013744 Private Equity Fund 332,901,623 242,972
ICONIQ ACCESS 61, LP United States 805-1259518915 Other Private Fund SPECIAL PURPOSE VEHICLE 53,960,783 200,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES PS United States 805-2454726947 Private Equity Fund 359,618 25,000
ICONIQ STRATEGIC PARTNERS V, L.P. Cayman Islands 805-5600088903 Private Equity Fund 1,714,796,475 12,500
ICQ CPE 2018 A-2, L.P. United States 805-9191955194 Other Private Fund SPECIAL PURPOSE VEHICLE 276,514,856 500,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., NS SERIES United States 805-1673242919 Private Equity Fund 47,962,047 127,396
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST SERIES United States 805-3192512110 Private Equity Fund 249,917,254 127,266
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., ST2 SERIES United States 805-1881080362 Private Equity Fund 102,028,021 100,000
ICONIQ STRATEGIC PARTNERS II, L.P. Cayman Islands 805-5367337264 Private Equity Fund 3,996,801,625 12,500
ICONIQ STRATEGIC PARTNERS II-B, L.P. Cayman Islands 805-9419123160 Private Equity Fund 3,120,002,968 15,000
ICQ OPPORTUNITIES FUND 3, L.P. United States 805-8409427963 Private Equity Fund 28,038,719 5,000
ICQ OPPORTUNITIES FUND PD, L.P. United States 805-9085669455 Private Equity Fund 50,439,513 10,000
ICQ INVESTMENTS ZY, LP United States 805-7554843916 Other Private Fund SPECIAL PURPOSE VEHICLE 22,086,433 18,000
PRIVATE EQUITY PORTFOLIO 2020, L.P. United States 805-3387456846 Private Equity Fund 564,116,043 0 Master Fund Fund of Funds
ICQ INVESTMENTS GW, L.P. United States 805-1449164893 Other Private Fund SPECIAL PURPOSE VEHICLE 6,556,884 150,000
ICQ INVESTMENTS 22, L.P. United States 805-3855489456 Other Private Fund SPECIAL PURPOSE VEHICLE 16,809,710 2,259
ICQ INVESTMENTS 23, L.P. United States 805-1680692754 Other Private Fund SPECIAL PURPOSE VEHICLE 3,493,103 18,600
ICQ INVESTMENTS EW, L.P. United States 805-1096315638 Other Private Fund SPECIAL PURPOSE VEHICLE 1,385,988 100,000
ICONIQ RESIDENTIAL PARTNERS FUND A, L.P. United States 805-4849547435 Real Estate Fund 481,499,904 10,000
ICONIQ STRATEGIC PARTNERS-B, L.P. Cayman Islands 805-6054999926 Private Equity Fund 88,117,880 15,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES G-B United States 805-5062664146 Private Equity Fund 123,881 10,000,000
ICONIQ ACCESS 11, LP United States 805-4780701164 Other Private Fund SPECIAL PURPOSE VEHICLE 29,506,498 75,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., GF SERIES United States 805-3930967473 Private Equity Fund 12,673,287 70,000
ICQ HOLDINGS KI, LLC Cayman Islands 805-7384168634 Other Private Fund SPECIAL PURPOSE VEHICLE 132,240,474 50,000,000 Fund of Funds
ICONIQ ACCESS 29, LP United States 805-9513777676 Other Private Fund SPECIAL PURPOSE VEHICLE 2,755,108 5,000,000 Fund of Funds
ICONIQ ACCESS 50, LP United States 805-1528418842 Other Private Fund SPECIAL PURPOSE VEHICLE 25,194,406 100,000 Fund of Funds
ICONIQ ACCESS 41, LP United States 805-8845125856 Other Private Fund SPECIAL PURPOSE VEHICLE 26,749,754 5,000,000 Fund of Funds
ICONIQ ACCESS 48, LP United States 805-8226747756 Other Private Fund SPECIAL PURPOSE VEHICLE 75,247,260 75,000 Fund of Funds
ICONIQ ACCESS 34, LP United States 805-9080097316 Other Private Fund SPECIAL PURPOSE VEHICLE 37,305,228 125,000 Fund of Funds
ICONIQ ACCESS 44, LP United States 805-3556419880 Other Private Fund SPECIAL PURPOSE VEHICLE 12,771,622 100,000 Fund of Funds
ICONIQ ACCESS 40, LP United States 805-4644056867 Other Private Fund SPECIAL PURPOSE VEHICLE 20,333,093 150,000 Fund of Funds
ICONIQ ACCESS 46, LP United States 805-6114617584 Other Private Fund SPECIAL PURPOSE VEHICLE 24,752,051 200,000 Fund of Funds
ICONIQ ACCESS 23, LP United States 805-1575570999 Other Private Fund SPECIAL PURPOSE VEHICLE 69,924,942 100,000 Fund of Funds
ICONIQ ACCESS 32, LP United States 805-7905004517 Other Private Fund SPECIAL PURPOSE VEHICLE 20,503,875 200,000 Fund of Funds
ICONIQ ACCESS 64, LP United States 805-4067687275 Other Private Fund SPECIAL PURPOSE VEHICLE 26,546,726 200,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES P United States 805-4668038350 Private Equity Fund 163,471,465 250,266
ICONIQ STRATEGIC PARTNERS II COINVEST, L.P., EZ SERIES United States 805-3182882993 Private Equity Fund 26,736,032 170,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., FK-H SERIES United States 805-5301497225 Private Equity Fund 149,914 150,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., KC-B SERIES United States 805-8255526146 Private Equity Fund 21,729,768 750,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES RV United States 805-7014677596 Private Equity Fund 366,586,536 50,000
ICONIQ STRATEGIC PARTNERS III, L.P. Cayman Islands 805-3698984027 Private Equity Fund 5,863,450,324 10,000
BB HOLDINGS SC, L.P. United States 805-9581267329 Private Equity Fund 26,229,724 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2020, L.P. United States 805-8692899617 Private Equity Fund 263,247,365 0 Master Fund Fund of Funds
ICQ OPPORTUNITIES FUND RB LP United States 805-3732719552 Other Private Fund SPECIAL PURPOSE VEHICLE 26,756,187 5,000
IREP OPPORTUNITIES FUND I A, LP United States 805-8606357822 Real Estate Fund 89,516,948 125,000
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES H United States 805-2608521106 Private Equity Fund 1,605,308 35,000
ICQ OPPORTUNITIES FUND AJ, L.P. United States 805-5625676102 Private Equity Fund 25,558,498 10,000
ICQ SPECIAL PURPOSE VEHICLE OC, L.P. Cayman Islands 805-9286115788 Other Private Fund SPECIAL PURPOSE VEHICLE 3,973,868 2,250,199
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., AB SERIES United States 805-9736181124 Private Equity Fund 127,865,956 50,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH BLOCKER SERIES United States 805-5253938872 Private Equity Fund 27,170,844 700,000
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., BH SERIES United States 805-2831408974 Private Equity Fund 48,263,314 156,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES P United States 805-3256579289 Private Equity Fund 75,424,897 54,000
ICONIQ ACCESS LXVII, L.P. United States 805-5502505741 Other Private Fund SPECIAL PURPOSE VEHICLE 8,512,952 375,000 Fund of Funds
ICONIQ ACCESS LXVIII, L.P. United States 805-2969460431 Other Private Fund SPECIAL PURPOSE VEHICLE 58,225,391 15,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., DD SERIES United States 805-1293829622 Private Equity Fund 396,083,443 110,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES QG-B United States 805-9135494352 Private Equity Fund 98,062,003 15,000
ICQ CPE 2019 C, L.P. United States 805-3748545958 Other Private Fund SPECIAL PURPOSE VEHICLE 63,482,179 250,000 Fund of Funds
ICQ CPE 2019 B, L.P. United States 805-7613300643 Other Private Fund SPECIAL PURPOSE VEHICLE 160,008,990 200,000 Fund of Funds
ICQ HOLDINGS MT, LP Cayman Islands 805-8375728928 Other Private Fund SPECIAL PURPOSE VEHICLE 34,059,093 9,000,000 Fund of Funds
ICQ ETHOS AUS RE, L.P. United States 805-8100465919 Real Estate Fund 59,163,572 25,000 Fund of Funds
ICQ HOLDINGS 1-C, LLC United States 805-8118058296 Other Private Fund SPECIAL PURPOSE VEHICLE 738,383,239 300,000,000 Fund of Funds
ICQ INVESTMENTS WL, L.P. United States 805-3916021486 Other Private Fund SPECIAL PURPOSE VEHICLE 6,624,738 9,350
ICQ BHL ECI HOLDINGS, L.P. United States 805-6332627996 Other Private Fund SPECIAL PURPOSE VEHICLE 138,425,972 30,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES QG United States 805-8841483327 Private Equity Fund 91,140,561 15,000
ICONIQ STRATEGIC PARTNERS IV-B, L.P. Cayman Islands 805-3659808397 Private Equity Fund 4,444,259,004 25,000
ICQ INVESTMENTS BX, L.P. United States 805-6230402020 Other Private Fund SPECIAL PURPOSE VEHICLE 3,768,226 5,000
ICQ INVESTMENTS CD, L.P. United States 805-7324454484 Other Private Fund SPECIAL PURPOSE VEHICLE 0 200,286
ICQ INVESTMENTS CX, LP United States 805-3464497885 Other Private Fund SPECIAL PURPOSE VEHICLE 8,195,122 10,000
ICONIQ STRATEGIC PARTNERS III-B, L.P. Cayman Islands 805-3228563765 Private Equity Fund 6,269,960,852 25,000
CO-INVESTMENT PORTFOLIO AIV 2020, L.P. United States 805-5434507524 Private Equity Fund 1,200,982 0 Fund of Funds
GLIDE PATH SOLUTIONS AIV 2020, L.P. United States 805-3705811309 Private Equity Fund 362,124,378 0 Fund of Funds
ICONIQ ACCESS 65, LP United States 805-9441433940 Other Private Fund SPECIAL PURPOSE VEHICLE 34,708,051 24,735 Fund of Funds
ICQ OPPORTUNITIES FUND AW LP United States 805-6117012216 Private Equity Fund 128,561,914 200,000
ICQ CVC 2019 B, L.P. United States 805-2840085301 Other Private Fund SPECIAL PURPOSE VEHICLE 62,578,380 50,000 Fund of Funds
ICQ OPPORTUNITIES FUND 1, L.P. Cayman Islands 805-9984145142 Private Equity Fund 44,251 12,500
ICQ HOLDINGS 3, LLC United States 805-4054601580 Other Private Fund SPECIAL PURPOSE VEHICLE 123,839,810 25,000,000 Fund of Funds
ICQ CVC 2018 B, L.P. United States 805-1932933078 Other Private Fund SPECIAL PURPOSE VEHICLE 27,676,902 50,000 Fund of Funds
ICQ HOLDINGS 1, LLC United States 805-3966571936 Other Private Fund SPECIAL PURPOSE VEHICLE 108,852,835 25,000,000 Fund of Funds
ICQ HOLDINGS 2-C, LLC United States 805-3668784460 Other Private Fund SPECIAL PURPOSE VEHICLE 386,272,287 150,000,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS CO-INVEST, L.P., SERIES R-B United States 805-5826187425 Private Equity Fund 85,247 75,000
ICQ CPE 2018 B, L.P. United States 805-4128298464 Other Private Fund SPECIAL PURPOSE VEHICLE 159,519,977 20,000 Fund of Funds
ICQ CPE 2018 C, L.P. United States 805-1482786421 Other Private Fund SPECIAL PURPOSE VEHICLE 47,906,993 300,000 Fund of Funds
ICQ INVESTMENTS 1, L.P. United States 805-6180924990 Other Private Fund SPECIAL PURPOSE VEHICLE 225,681 12,000
ICQ INVESTMENTS 11, L.P. United States 805-8409403349 Other Private Fund SPECIAL PURPOSE VEHICLE 2,237,216 10,000
ICQ INVESTMENTS 9, L.P. United States 805-6315586436 Other Private Fund SPECIAL PURPOSE VEHICLE 65,760,990 10,000
ICONIQ STRATEGIC PARTNERS, L.P. Cayman Islands 805-2269087813 Private Equity Fund 359,814,109 6,890
BB HOLDINGS VER, L.P. United States 805-2221966280 Other Private Fund SPECIAL PURPOSE VEHICLE 256,777,535 50,000,000 Fund of Funds
ICQ INVESTMENTS 26, L.P. United States 805-9946942128 Other Private Fund SPECIAL PURPOSE VEHICLE 18,844,573 20,000
ICQ INVESTMENTS 4, L.P. United States 805-6059439592 Other Private Fund SPECIAL PURPOSE VEHICLE 420,337 5,000
PRIVATE REAL RETURN PORTFOLIO 2020, L.P. United States 805-4670019447 Private Equity Fund 35,888,353 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P. SERIES EP1 United States 805-1221441628 Private Equity Fund 71,719 5,000
ICQ HOLDINGS 4, LLC United States 805-4988291665 Other Private Fund SPECIAL PURPOSE VEHICLE 42,193,060 10,000,000 Fund of Funds
ICONIQ ACCESS LXIX, L.P. United States 805-6736862205 Other Private Fund SPECIAL PURPOSE VEHICLE 210,587,485 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., INV2 SERIES United States 805-7519378347 Private Equity Fund 9,499,952 150,000
ICONIQ STRATEGIC PARTNERS III CO-INVEST, L.P., SERIES EP2 United States 805-1016864315 Private Equity Fund 78,616 25,499
ICONIQ STRATEGIC PARTNERS III CO-INVEST L.P. SERIES HZE United States 805-8731209264 Private Equity Fund 100,313,343 16,000
ICQ INVESTMENTS 18, L.P. United States 805-3093711018 Other Private Fund SPECIAL PURPOSE VEHICLE 18,032,883 10,000
ICQ INVESTMENTS 2, L.P. United States 805-5884447817 Other Private Fund SPECIAL PURPOSE VEHICLE 71,908,807 12,000
ICQ INVESTMENTS 20, L.P. United States 805-1041085094 Other Private Fund SPECIAL PURPOSE VEHICLE 1,405,666 50,000
REAL ASSETS PORTFOLIO 2021, L.P. United States 805-3194609765 Private Equity Fund 355,589,970 0 Master Fund Fund of Funds
BB HOLDINGS OR, L.P. United States 805-2276925072 Private Equity Fund 23,718,298 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2021, L.P. United States 805-9240812916 Private Equity Fund 95,539,528 0 Fund of Funds
REAL ESTATE PORTFOLIO 2020, L.P. United States 805-4127514145 Private Equity Fund 394,291,596 0 Master Fund Fund of Funds
ICQ CVC 2019 A, L.P. United States 805-5030944635 Other Private Fund SPECIAL PURPOSE VEHICLE 164,009,752 75,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P. SERIES KC2 United States 805-2021818354 Private Equity Fund 50,940,788 50,000
VENTURE CAPITAL PORTFOLIO 2022, LP United States 805-6597154747 Private Equity Fund 422,762,460 0 Master Fund Fund of Funds
REAL ESTATE PORTFOLIO HT SPV, LP United States 805-6078598259 Other Private Fund SPECIAL PURPOSE VEHICLE 111,858,858 0 Fund of Funds
BB HOLDINGS OV, LP United States 805-7896033972 Other Private Fund SPECIAL PURPOSE VEHICLE 39,837,700 0 Fund of Funds
BB HOLDINGS AC, LP United States 805-9759521664 Other Private Fund SPECIAL PURPOSE VEHICLE 54,460,001 0
GLIDE PATH SOLUTIONS AIV 2021, LP United States 805-9740761537 Private Equity Fund 98,864,326 0 Fund of Funds
BB HOLDINGS IB, LP United States 805-6807834915 Other Private Fund SPECIAL PURPOSE VEHICLE 331,071,472 0 Fund of Funds
ABSOLUTE RETURN PARALLEL PORTFOLIO, LP Cayman Islands 805-8050101086 Private Equity Fund 219,025,455 25,000 Fund of Funds
ICQ CPE 2019 A-1, L.P. United States 805-7200002746 Other Private Fund SPECIAL PURPOSE VEHICLE 508,695,518 100,000 Fund of Funds
ICQ CPE I, L.P. United States 805-8234632256 Other Private Fund SPECIAL PURPOSE VEHICLE 282,422,054 94,647 Fund of Funds
PRIVATE CREDIT PORTFOLIO 2021, LP.. United States 805-9803619124 Private Equity Fund 315,252,150 0 Master Fund Fund of Funds
ICONIQ STRATEGIC PARTNERS IV, L.P. Cayman Islands 805-3615326503 Private Equity Fund 2,687,377,252 10,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES TS United States 805-9863083107 Private Equity Fund 803,048,901 20,000
ICONIQ STRATEGIC PARTNERS V-B, L.P. Cayman Islands 805-1661029653 Private Equity Fund 2,303,358,496 15,000
ICQ CPE 2018 A-1, L.P. United States 805-3402367178 Other Private Fund SPECIAL PURPOSE VEHICLE 535,765,941 100,000 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., SERIES KC-B 2 United States 805-3821108804 Private Equity Fund 99,623,117 250,000
ICONIQ STRATEGIC PARTNERS IV CO-INVEST, L.P. SERIES HR United States 805-8030648805 Private Equity Fund 35,282,664 1,000,000
GLIDE PATH SOLUTIONS AIV 2021 INTER, LP United States 805-5779614426 Private Equity Fund 16,693,858 0 Fund of Funds
GP INTERESTS PORTFOLIO 2021, LP United States 805-1513145893 Private Equity Fund 12,548,091 0 Fund of Funds
REAL ASSETS PORTFOLIO 2022, LP United States 805-3639181573 Private Equity Fund 333,065,470 0 Master Fund Fund of Funds
RE BB HOLDINGS CM, LP United States 805-1028263072 Other Private Fund SPECIAL PURPOSE VEHICLE 97,862,930 0 Fund of Funds
BB HOLDINGS TB, LP United States 805-4422522466 Other Private Fund SPECIAL PURPOSE VEHICLE 44,718,031 960,000 Fund of Funds
REAL ESTATE PORTFOLIO 2022, LP United States 805-3493831785 Private Equity Fund 485,787,450 0 Master Fund Fund of Funds
BB HOLDINGS AD, LP United States 805-8191863941 Other Private Fund SPECIAL PURPOSE VEHICLE 80,426,851 0 Fund of Funds
PRIVATE DIVERSIFIERS PORTFOLIO 2022, LP United States 805-9602943694 Private Equity Fund 374,818,610 0 Master Fund Fund of Funds
PRIVATE EQUITY PORTFOLIO 2022, LP United States 805-6877992483 Private Equity Fund 809,701,290 0 Master Fund Fund of Funds
PRIVATE TOTAL RETURN PORTFOLIO 2022, LP United States 805-5427733094 Private Equity Fund 71,193,000 0 Fund of Funds
BB HOLDINGS AA, LP United States 805-6479235453 Other Private Fund SPECIAL PURPOSE VEHICLE 311,200,005 0
BB HOLDINGS AB, LP United States 805-3290302759 Other Private Fund SPECIAL PURPOSE VEHICLE 124,803,421 0 Fund of Funds
BB HOLDINGS CS, LP United States 805-4748530378 Other Private Fund SPECIAL PURPOSE VEHICLE 21,000,000 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS II CO-INVEST, L.P., SERIES ABB United States 805-5138178685 Private Equity Fund 374,126 100,000
GLIDE PATH SOLUTIONS 2022, LP United States 805-3737498013 Private Equity Fund 970,420,000 0 Master Fund Fund of Funds
BB HOLDINGS TO SP, LP United States 805-8458397379 Private Equity Fund 31,193,710 0 Fund of Funds
GLIDE PATH SOLUTIONS 2021 INTER, LP United States 805-4943161433 Private Equity Fund 613,218,221 0 Fund of Funds
PRIVATE CREDIT PORTFOLIO 2022, LP United States 805-1323683033 Private Equity Fund 267,945,470 0 Master Fund Fund of Funds
PRIVATE REAL RETURN PORTFOLIO 2022, LP United States 805-9371225637 Private Equity Fund 40,907,000 0 Fund of Funds
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ES United States 805-9611658366 Private Equity Fund 199,439,226 5,000
ICQ OPPORTUNITIES FUND 8TY LP United States 805-7755052720 Other Private Fund SPECIAL PURPOSE VEHICLE 10,056,661 10,000
ICQ OPPORTUNITIES FUND WL2, LP United States 805-5882744374 Other Private Fund SPECIAL PURPOSE VEHICLE 30,539,337 7,500
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES RH United States 805-5591684488 Real Estate Fund 115,059,059 5,000
ICONIQ STRATEGIC PARTNERS VI, L.P. Cayman Islands 805-2553237114 Private Equity Fund 1,887,573,099 15,000
ICONIQ STRATEGIC PARTNERS VI-B, L.P. Cayman Islands 805-5514829961 Private Equity Fund 2,772,763,021 10,000
ICONIQ STRATEGIC PARTNERS VI CO-INVEST FO, L.P United States 805-4864166059 Private Equity Fund 108,554,481 0
ICONIQ STRATEGIC PARTNERS VI CO-INVEST FO-B, L.P United States 805-5004108214 Private Equity Fund 52,377,303 0
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ST United States 805-5618556555 Private Equity Fund 28,622,985 500,000
ICONIQ STRATEGIC PARTNERS V CO-INVEST, L.P. SERIES ST2 United States 805-6898395015 Private Equity Fund 12,576,210 2,000,000
ICONIQ STRATEGIC PARTNERS VI CO-INVEST, L.P., SERIES BD United States 805-7851826635 Other Private Fund SPECIAL PURPOSE VEHICLE 174,695,622 10,000
ICQ OPPORTUNITIES FUND BR, LP United States 805-3469100431 Other Private Fund SPECIAL PURPOSE VEHICLE 5,140,076 5,000
ICQ OPPORTUNITIES FUND BR SPV, LP United States 805-7569907261 Other Private Fund SPECIAL PURPOSE VEHICLE 12,300,000 4,919,999

ICONIQ CAPITAL, LLC

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

Private Funds

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