ADVISORSHARES TRUST

BETHESDA, MD Trust Mutual Fund How do I update this listing?

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Advisorshares Trust is based out of Bethesda. The Fund is a ���fund of funds,��� which means that the Fund seeks to achieve its investment objective by investing primarily in other exchange-traded funds (the ���Underlying ETFs���), and shares of certain exchange-traded products, including but not limited to, exchange-traded notes, exchange-traded currency trusts and exchange-traded commodities pools. H.S. Dent Investment Management, LLC (the ���Sub-Advisor���) seeks to achieve the Fund's investment objective by identifying, through proprietary economic and demographic analysis, the overall trend of the U.S. and global economies, and then implementing investment strategies in asset classes (such as, but not limited to, foreign and domestic equities or fixed income securities) that the Sub-Advisor believes will benefit from these trends.Whalewisdom has at least 4 13G filings The firm has no submitted 13F filings and does not appear to be an investment advisor.

Current 13D/G Holdings
Stock Sector Shares Held Market Value Rank Source Source Date
Agrify Corp (AGFY) 2,427,191 22,330,157.20 1 13G 2021-12-31
Power REIT (Pittsburg & West Virginia Railway Co.) (PW) REAL ESTATE 357,037 18,723,020.28 2 13G 2021-11-30
Greenlane Holdings Inc (GNLN) CONSUMER DISCRETIONARY 1,156,534 2,740,985.58 3 13G 2020-12-31

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2021-03-08
Name Title Start Date Direct/Indirect % Ownership
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01

ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2020-11-05
Name Title Start Date Direct/Indirect % Ownership
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01

ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2020-03-20
Name Title Start Date Direct/Indirect % Ownership

ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2019-11-21
Name Title Start Date Direct/Indirect % Ownership
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01

ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2019-03-18
Name Title Start Date Direct/Indirect % Ownership
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01

ADVISORSHARES INVESTMENTS, LLC

ownership team - last updated 2017-10-09
Name Title Start Date Direct/Indirect % Ownership
HAMMAN, NOAH, NMN CHIEF EXECUTIVE OFFICER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01
AHRENS, DANIEL, STUART MANAGING DIRECTOR 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. PRESIDENT,SECRETARY, TREASURER, CCO direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT direct 2004-04-01
MUTUALS ADVISORS, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-04-01
AHRENS ADVISORS, L.P. PRESIDENT indirect 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER direct 2005-08-01
AHRENS ADVISORS, L.P. GENERAL PARTNER direct 2005-08-01
AHRENS ADVISORS, L.P. LIMITED PARTNER direct 2005-08-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, COO, CIO direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2008-11-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2013-01-01
WILSON LANE GROUP, LLC MEMBER 10/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC SHAREHOLDER direct 2008-10-01
ADVISORSHARES INVESTMENTS, LLC MEMBER direct 2008-10-01
ADVISORSHARES ADVISORS, LLC MEMBER indirect 2008-10-01
CARL, JAMES, EUGENE MANAGING DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORSHARES INVESTMENTS, LLC MANAGING DIRECTOR direct 2013-06-01
ADVISORSHARES ADVISORS, LLC MANAGING DIRECTOR direct 2013-01-01
LITTLE, STEFANIE, JANE CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
COMMUNITY CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2010-01-01
REAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
PRING/TURNER CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2013-02-01
ADVISORSHARES INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
ADVISORSHARES ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
BLB & B ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
BRANDYWINE ASSET MANAGEMENT INC. LEGAL COMPLIANCE & HR MANAGER direct 1999-05-01 2004-02-23
BRANDYWINE ASSET MANAGEMENT, LLC DIRECTOR OF LEGAL AND CONTRACT MANAGEMENT direct 1999-05-01 2007-03-13
SPIDER MANAGEMENT COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01 2011-09-27
HAMMAN, NOAH, NMN MANAGING MEMBER WILSON LANE GROUP, LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RYDEX ADVISORY SERVICES, LLC VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-08-01
ARROW INVESTMENT ADVISORS, LLC MANAGING PARTNER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER direct 2006-02-01
ARROW INVESTMENT ADVISORS LLC PRESIDENT & CEO, CCO direct 2006-02-01
ARROW INVESTMENT ADVISORS, LLC NONMANAGING MEMBER direct 2007-12-01
ADVISORSHARES INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2006-10-01
ADVISORSHARES INVESTMENTS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC MANAGING MEMBER indirect 2008-09-01
ADVISORSHARES ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2013-01-01

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