1ST GLOBAL ADVISORS, INC.

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1st Global is the largest independently owned wealth management partner for accounting and legal firms.Whalewisdom has at least 44 13F filings

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1ST GLOBAL ADVISORS INC
12750 MERIT DRIVE SUITE 1200
DALLAS TX    75251
Country: United States

Business Phone: 214-294-5000
Fax: 214-294-5043
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TX
Number of employees: 976
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,FINANCIAL PLANNING FEES
Amount of client funds and securities:
Total Number of Clients: 30580
Amount of client funds and securities by related persons: 10,819,600,000
Total Number of clients from related persons: 30580
Disclosures: 11.B (2),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

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1ST GLOBAL ADVISORS INC

ownership team - last updated 2019-09-26
Name Title Start Date Direct/Indirect % Ownership
1ST GLOBAL, INC. STOCKHOLDER 08/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC STOCKHOLDER direct 1994-08-01
PAGANO, MICHAEL, ANTHONY EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT direct 2015-12-01
1ST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2001-05-01 2008-09-02
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2001-05-01 2015-09-30
STEWART, EVERETT, PAUL EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFG ADVISORY SERVICES INC TREASURER direct 1999-01-01
VESTAX SECURITIES CORPORATION CFO direct 2003-01-01
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2015-03-01
MULTI-FINANCIAL SECURITIES CORPORATION CFO direct 2002-08-01 2004-12-13
1ST GLOBAL ADVISORS INC VICE PRESIDENT - CHIEF ADMINISTRATIVE OFFICER direct 2005-04-01 2015-04-02
MAGSON, JEFFREY, SCOTT EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER direct 2015-03-01
SMITH, STEPHEN, GARRETT ASSISTANT VICE PRESIDENT AND CCO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CCO & DIRECTOR OF ADVISORY COMPLIANCE AND CENTRALIZED COMPLIANCE CONTROLS direct 2015-12-01
Mackay, Todd, Christopher DIRECTOR 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC CEO direct 2019-01-01
Vasquez, Enrique, Martin PRESIDENT 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGEND ADVISORY CORPORATION CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2015-05-01
GENWORTH FINANCIAL ADVISERS CORPORATION PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2005-06-01
CETERA INVESTMENT ADVISERS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER & MEMBER direct 2005-06-01
GENWORTH FINANCIAL ADVISERS CORPORATION CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2005-06-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT & MANAGER direct 2012-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT & MANAGER direct 2013-10-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
GE PRIVATE ASSET MANAGEMENT,INC. DIRECTOR direct 2004-12-01
GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. DIRECTOR direct 2006-10-01
CENTURION HINDS INVESTMENT MANAGEMENT INC. PRES & CEO/DIRECTOR direct 2006-01-01
CETERA INVESTMENT MANAGEMENT LLC PRESIDENT AND CEO direct 2013-01-01
CETERA INVESTMENT MANAGEMENT LLC MANAGER direct 2013-01-01
HDV HOLDINGS, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2011-10-01
H.D. VEST ADVISORY SERVICES, INC H.D VEST, INC. direct 2011-10-01
H.D. VEST ADVISORY SERVICES, INC H.D. VEST, INC. indirect 2011-10-01
PROJECT BASEBALL SUB, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2015-12-01
TAXACT HOLDINGS, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2015-10-01
BLUCORA, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2012-01-01
1G ACQUISITIONS, LLC SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC SHAREHOLDER indirect 2019-05-01

1ST GLOBAL ADVISORS INC

ownership team - last updated 2019-05-21
Name Title Start Date Direct/Indirect % Ownership
STEWART, EVERETT, PAUL EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFG ADVISORY SERVICES INC TREASURER direct 1999-01-01
VESTAX SECURITIES CORPORATION CFO direct 2003-01-01
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2015-03-01
MULTI-FINANCIAL SECURITIES CORPORATION CFO direct 2002-08-01 2004-12-13
1ST GLOBAL ADVISORS INC VICE PRESIDENT - CHIEF ADMINISTRATIVE OFFICER direct 2005-04-01 2015-04-02
1ST GLOBAL, INC. STOCKHOLDER 08/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC STOCKHOLDER direct 1994-08-01
PAGANO, MICHAEL, ANTHONY EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT direct 2015-12-01
1ST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2001-05-01 2008-09-02
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2001-05-01 2015-09-30
KNOCH, DAVID, CHRISTOPHER PRESIDENT AND CEO 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC VICE PRESIDENT direct 2005-11-01
1ST GLOBAL ADVISORS INC PRESIDENT AND COO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT direct 2008-10-01
MAGSON, JEFFREY, SCOTT EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER direct 2015-03-01
SMITH, STEPHEN, GARRETT ASSISTANT VICE PRESIDENT AND CCO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CCO & DIRECTOR OF ADVISORY COMPLIANCE AND CENTRALIZED COMPLIANCE CONTROLS direct 2015-12-01
Mackay, Todd, Christopher DIRECTOR 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC CEO direct 2019-01-01
HDV HOLDINGS, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2011-10-01
H.D. VEST ADVISORY SERVICES, INC H.D VEST, INC. direct 2011-10-01
H.D. VEST ADVISORY SERVICES, INC H.D. VEST, INC. indirect 2011-10-01
PROJECT BASEBALL SUB, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2015-12-01
TAXACT HOLDINGS, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2015-10-01
BLUCORA, INC. SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
H.D. VEST ADVISORY SERVICES, INC SHAREHOLDER indirect 2012-01-01
1G ACQUISITIONS, LLC SHAREHOLDER 1ST GLOBAL, INC. 05/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC SHAREHOLDER indirect 2019-05-01

1ST GLOBAL ADVISORS INC

ownership team - last updated 2019-03-07
Name Title Start Date Direct/Indirect % Ownership
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02
1ST GLOBAL, INC. STOCKHOLDER 08/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC STOCKHOLDER direct 1994-08-01
PAGANO, MICHAEL, ANTHONY EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT direct 2015-12-01
1ST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2001-05-01 2008-09-02
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2001-05-01 2015-09-30
KNOCH, DAVID, CHRISTOPHER PRESIDENT 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC VICE PRESIDENT direct 2005-11-01
1ST GLOBAL ADVISORS INC PRESIDENT AND COO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT direct 2008-10-01
STEWART, EVERETT, PAUL EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFG ADVISORY SERVICES INC TREASURER direct 1999-01-01
VESTAX SECURITIES CORPORATION CFO direct 2003-01-01
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2015-03-01
MULTI-FINANCIAL SECURITIES CORPORATION CFO direct 2002-08-01 2004-12-13
1ST GLOBAL ADVISORS INC VICE PRESIDENT - CHIEF ADMINISTRATIVE OFFICER direct 2005-04-01 2015-04-02
MAGSON, JEFFREY, SCOTT EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER direct 2015-03-01
SMITH, STEPHEN, GARRETT ASSISTANT VICE PRESIDENT AND CCO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CCO & DIRECTOR OF ADVISORY COMPLIANCE AND CENTRALIZED COMPLIANCE CONTROLS direct 2015-12-01
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 1ST GLOBAL, INC. 10/01/2008 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02

1ST GLOBAL ADVISORS INC

ownership team - last updated 2018-12-05
Name Title Start Date Direct/Indirect % Ownership
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02
1ST GLOBAL, INC. STOCKHOLDER 08/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC STOCKHOLDER direct 1994-08-01
PAGANO, MICHAEL, ANTHONY EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT direct 2015-12-01
1ST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2001-05-01 2008-09-02
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2001-05-01 2015-09-30
KNOCH, DAVID, CHRISTOPHER PRESIDENT 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC VICE PRESIDENT direct 2005-11-01
1ST GLOBAL ADVISORS INC PRESIDENT AND COO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT direct 2008-10-01
STEWART, EVERETT, PAUL EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFG ADVISORY SERVICES INC TREASURER direct 1999-01-01
VESTAX SECURITIES CORPORATION CFO direct 2003-01-01
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2015-03-01
MULTI-FINANCIAL SECURITIES CORPORATION CFO direct 2002-08-01 2004-12-13
1ST GLOBAL ADVISORS INC VICE PRESIDENT - CHIEF ADMINISTRATIVE OFFICER direct 2005-04-01 2015-04-02
MAGSON, JEFFREY, SCOTT EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER direct 2015-03-01
SMITH, STEPHEN, GARRETT ASSISTANT VICE PRESIDENT AND CCO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CCO & DIRECTOR OF ADVISORY COMPLIANCE AND CENTRALIZED COMPLIANCE CONTROLS direct 2015-12-01
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 1ST GLOBAL INC. 10/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02

1ST GLOBAL ADVISORS INC

ownership team - last updated 2018-04-27
Name Title Start Date Direct/Indirect % Ownership
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02
1ST GLOBAL, INC. STOCKHOLDER 08/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC STOCKHOLDER direct 1994-08-01
PAGANO, MICHAEL, ANTHONY EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT, COMPLIANCE, LEGAL AND RISK ASSESSMENT direct 2015-12-01
1ST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2001-05-01 2008-09-02
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2001-05-01 2015-09-30
KNOCH, DAVID, CHRISTOPHER PRESIDENT 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC VICE PRESIDENT direct 2005-11-01
1ST GLOBAL ADVISORS INC PRESIDENT AND COO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT direct 2008-10-01
STEWART, EVERETT, PAUL EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFG ADVISORY SERVICES INC TREASURER direct 1999-01-01
VESTAX SECURITIES CORPORATION CFO direct 2003-01-01
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2015-03-01
MULTI-FINANCIAL SECURITIES CORPORATION CFO direct 2002-08-01 2004-12-13
1ST GLOBAL ADVISORS INC VICE PRESIDENT - CHIEF ADMINISTRATIVE OFFICER direct 2005-04-01 2015-04-02
MAGSON, JEFFREY, SCOTT EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC EXECUTIVE VICE PRESIDENT AND CLIENT EXPERIENCE OFFICER direct 2015-03-01
SMITH, STEPHEN, GARRETT ASSISTANT VICE PRESIDENT AND CCO 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CCO & DIRECTOR OF ADVISORY COMPLIANCE AND CENTRALIZED COMPLIANCE CONTROLS direct 2015-12-01
BATMAN, STEPHEN, ANTHONY CHAIRMAN AND CEO 1ST GLOBAL INC. 10/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO indirect 2008-10-01
1ST GLOBAL ADVISORS INC CHAIRMAN AND CEO direct 2008-10-01
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR direct 1992-05-01 2008-09-02
1ST GLOBAL ADVISORS INC PRESIDENT AND DIRECTOR indirect 1992-05-01 2008-09-02

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