APERIO GROUP, LLC

HTTP://WWW.APERIOGROUP.COM/ SAUSALITO, CA Investment Advisor How do I update this listing?

Aperio Group is based out of Sausalito. Aperio Group is a large advisory firm with 5022 clients and discretionary assets under management (AUM) of $24,735,579,836 (Form ADV from 2019-03-15). Their last reported 13F filing for Q3 2019 included $25,298,934,000 in managed 13F securities and a top 10 holdings concentration of 16.08%. Aperio Group's largest holding is Microsoft Corp. with shares held of 5,846,104. Whalewisdom has at least 82 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $25.299 Billion
  • Prior Market Value $24.485 Billion
  • New Purchases4 stocks
  • Additional Purchases1358 stocks
  • Sold out of775 stocks
  • Reduced holdings in933 stocks
  • Top 10 Holdings % 16.08 %
  • Turnover % [1]:33.80%
  • Turnover Alt % [2]: 5.70 %
  • Time Held Top20:11.05 quarters
  • Time Held Top10:11.20 quarters
  • Time Held All:24.17 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.94%
Performance Last 4 Quarters: 15.93%
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
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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
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR/A (Subscription required)
  • 2017-12-31 - 13F-HR/A (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR/A (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR/A (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR/A (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
MORGAN STANLEY SMITH BARNEY LLC

View Last Form Adv Compilation Report on Record

APERIO GROUP, LLC
Classified as Hedge Fund
THREE HARBOR DRIVE SUITE 204
SAUSALITO CA    94965
Country: United States

Business Phone: 415-339-4300
Fax: 415-339-4301
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 89
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 5022
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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APERIO GROUP, LLC

ownership team - last updated 2019-03-15
Name Title Start Date Direct/Indirect % Ownership
GEDDES, PATRICK CHIEF EXECUTIVE OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01 2010-03-29
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF INVESTMENT OFFICER direct 1999-09-01 2015-01-09
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF EXECUTIVE OFFICER direct 1999-09-01 2015-03-25
SOLLI, PAUL CHIEF MARKETING AND STRATEGY OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER, PARTNER direct 1999-09-01 2015-03-25
HING, LAWRENCE, STEWART CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01
APERIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
HIRAYAMA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
NUTI, MARK, J. CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
JURIKA & VOYLES LP DIRECTOR, CHIEF OPERATING OFFICER direct 1999-12-01
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
JURIKA & VOYLES LP CHIEF OPERATING OFFICER direct 1999-12-01 2002-01-15
ADELANTE CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2003-07-01 2011-03-31
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2015-01-01 2016-02-03
OSBORNE, ANGELA, MAREN CHIEF OPERATING OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2013-08-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DIRECTOR, COO direct 2013-08-01
APERIO HOLDINGS, LLC MEMBER OF APERIO GROUP, LLC 10/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MEMBER OF APERIO GROUP, LLC direct 2018-10-01
GOLDEN GATE CAPITAL OPPORTUNITY FUND, LP LIMITED PARTNER OF GGC APERIO HOLDINGS L.P. GGC APERIO HOLDINGS L.P. 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC OWNER indirect 2014-12-01
GREEN STREET ADVISORS, LLC OWNER indirect 2014-12-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-05-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-06-01
NASSAU CORPORATE CREDIT LLC LIMITED PARTNER indirect 2015-05-01
GGC APERIO HOLDINGS L.P. MEMBER OF APERIO HOLDINGS, LLC APERIO HOLDINGS, LLC 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MEMBER OF APERIO HOLDINGS, LLC indirect 2018-10-01
GGC OPPORTUNITY FUND MANAGEMENT, L.P. GENERAL PARTNER OF GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. GOLDEN GATE CAPITAL OPPORTUNITY FUND, LP 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC GENERAL PARTNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. LIMITED PARTNER OF GGC APERIO HOLDINGS L.P. GGC APERIO HOLDINGS L.P. 10/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC MANAGING MEMBER OF GGCOF GS BLOCKER, LLC indirect 2007-07-01
GREEN STREET INVESTORS, LLC OWNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC MANAGING MEMBER OF GGCOF GS BLOCKER, LLC indirect 2007-07-01
GREEN STREET ADVISORS, LLC OWNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-05-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-06-01
NASSAU CORPORATE CREDIT LLC LIMITED PARTNER indirect 2015-05-01
GGC OPPORTUNITY FUND MANAGEMENT, L.P. GENERAL PARTNER OF GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC GENERAL PARTNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01

APERIO GROUP, LLC

ownership team - last updated 2018-10-12
Name Title Start Date Direct/Indirect % Ownership
SOLLI, PAUL CHIEF MARKETING AND STRATEGY OFFICER 09/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER, PARTNER direct 1999-09-01 2015-03-25
GEDDES, PATRICK CHIEF EXECUTIVE OFFICER 09/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01 2010-03-29
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF INVESTMENT OFFICER direct 1999-09-01 2015-01-09
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF EXECUTIVE OFFICER direct 1999-09-01 2015-03-25
HING, LAWRENCE, STEWART CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01
APERIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
HIRAYAMA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
NUTI, MARK, J. CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
JURIKA & VOYLES LP DIRECTOR, CHIEF OPERATING OFFICER direct 1999-12-01
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
JURIKA & VOYLES LP CHIEF OPERATING OFFICER direct 1999-12-01 2002-01-15
ADELANTE CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2003-07-01 2011-03-31
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2015-01-01 2016-02-03
OSBORNE, ANGELA, MAREN CHIEF OPERATING OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2013-08-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DIRECTOR, COO direct 2013-08-01
APERIO HOLDINGS, LLC MEMBER OF APERIO GROUP, LLC 10/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MEMBER OF APERIO GROUP, LLC direct 2018-10-01
GOLDEN GATE CAPITAL OPPORTUNITY FUND, LP LIMITED PARTNER OF GGC APERIO HOLDINGS L.P. GGC APERIO HOLDINGS L.P. 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC OWNER indirect 2014-12-01
GREEN STREET ADVISORS, LLC OWNER indirect 2014-12-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-05-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-06-01
NASSAU CORPORATE CREDIT LLC LIMITED PARTNER indirect 2015-05-01
GGC APERIO HOLDINGS L.P. MEMBER OF APERIO HOLDINGS, LLC APERIO HOLDINGS, LLC 10/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MEMBER OF APERIO HOLDINGS, LLC indirect 2018-10-01
GGC OPPORTUNITY FUND MANAGEMENT, L.P. GENERAL PARTNER OF GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. GOLDEN GATE CAPITAL OPPORTUNITY FUND, LP 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC GENERAL PARTNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. LIMITED PARTNER OF GGC APERIO HOLDINGS L.P. GGC APERIO HOLDINGS L.P. 10/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC MANAGING MEMBER OF GGCOF GS BLOCKER, LLC indirect 2007-07-01
GREEN STREET INVESTORS, LLC OWNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC MANAGING MEMBER OF GGCOF GS BLOCKER, LLC indirect 2007-07-01
GREEN STREET ADVISORS, LLC OWNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-05-01
CORAMERICA CAPITAL, LLC LIMITED PARTNER indirect 2015-06-01
NASSAU CORPORATE CREDIT LLC LIMITED PARTNER indirect 2015-05-01
GGC OPPORTUNITY FUND MANAGEMENT, L.P. GENERAL PARTNER OF GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
GREEN STREET INVESTORS, LLC GENERAL PARTNER indirect 2007-07-01
GREEN STREET ADVISORS, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
CORAMERICA CAPITAL, LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01
NASSAU CORPORATE CREDIT LLC GENERAL PARTNER indirect 2007-07-01

APERIO GROUP, LLC

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
SOLLI, PAUL MANAGING MEMBER 09/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER, PARTNER direct 1999-09-01 2015-03-25
GEDDES, PATRICK MANAGING MEMBER, CHIEF EXECUTIVE OFFICER 09/01/1999 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 1999-09-01
APERIO GROUP LLC PARTNER direct 2000-01-01 2001-11-13
APERIO GROUP, LLC PARTNER direct 1999-09-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER direct 1999-09-01 2010-03-29
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF INVESTMENT OFFICER direct 1999-09-01 2015-01-09
APERIO GROUP, LLC MANAGING MEMBER, MANAGING PARTNER, CHIEF EXECUTIVE OFFICER direct 1999-09-01 2015-03-25
LAMPARD, GUY, ARTHUR MANAGING MEMBER 03/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
APERIO GROUP LLC PARTNER direct 2005-03-01
APERIO GROUP, LLC MANAGING MEMBER direct 2005-03-01
APERIO GROUP, LLC MANAGING MEMBER, PARTNER direct 2005-03-01
NEWMAN, ROBERT MANAGING MEMBER 01/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MANAGING MEMBER direct 2016-01-01
APERIO GROUP LLC PARTNER direct 2001-01-01 2006-03-22
APERIO GROUP, LLC PARTNER, CHIEF COMPLIANCE OFFICER direct 2001-01-01 2008-03-19
APERIO GROUP, LLC MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2001-01-01 2010-03-29
APERIO GROUP, LLC MANAGING MEMBER, PARTNER, CHIEF COMPLIANCE OFFICER direct 2001-01-01 2014-04-08
APERIO GROUP, LLC MANAGING MEMBER, PARTNER direct 2015-01-01 2015-03-25
GREENWOOD, PAUL, RICHARD DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC DIRECTOR direct 2014-11-01
APERIO GROUP, LLC DIRECTOR direct 2016-01-01
JS ASSET MANAGEMENT SHAREHOLDER indirect 2005-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC BOARD MEMBER indirect 2007-07-01
CLARIVEST ASSET MANAGEMENT LLC MEMBER indirect 2005-01-01
CLARIVEST ASSET MANAGEMENT LLC MEMBER indirect 2006-03-01
ALPHASHARES, LLC BOARD MEMBER indirect 2007-07-01
TAMRO CAPITAL PARTNERS LLC BOARD MEMBER indirect 2007-07-01
TAMRO CAPITAL PARTNERS LLC BOARD MEMBER indirect 2007-07-01
BME INVESTMENT PARTNERS, LLC BOARD MEMBER indirect 2008-10-01
AETHER INVESTMENT PARTNERS, LLC BOARD MEMBER indirect 2007-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MANAGING DIRECTOR direct 2010-05-01
HAND, PETER, L MEMBER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC MEMBER direct 2016-01-01
APERIO GROUP, LLC MEMBER direct 2016-02-01
MICHAELS, ELIZABETH, G MEMBER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
IBBOTSON ASSOCIATES, INC. VICE PRESIDENT direct 2006-08-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
APERIO GROUP, LLC MEMBER direct 2016-02-01
HING, LAWRENCE, STEWART CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2013-08-01
APERIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
HIRAYAMA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
NUTI, MARK, J. CHIEF FINANCIAL OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
JURIKA & VOYLES LP DIRECTOR, CHIEF OPERATING OFFICER direct 1999-12-01
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2015-01-01
JURIKA & VOYLES LP CHIEF OPERATING OFFICER direct 1999-12-01 2002-01-15
ADELANTE CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2003-07-01 2011-03-31
APERIO GROUP, LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2015-01-01 2016-02-03
NORTHERN LIGHTS MIDCO II, LLC MEMBER 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2016-12-01
DALEY, RICHARD, MICHAEL DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
APERIO GROUP, LLC DIRECTOR direct 2016-06-01
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01
PACIFIC CURRENT GROUP LIMITED UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
LAIRD NORTON COMPANY SHAREHOLDER WHITE PINE, INC. 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2006-08-01
APERIO GROUP, LLC SHAREHOLDER indirect 2007-12-01
TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 1994-04-01
LAIRD NORTON TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 2004-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2006-08-01
ELESSAR INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2006-08-01
TAMRO CAPITAL PARTNERS LLC SHAREHOLDER indirect 2007-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 1994-04-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
BME INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2006-08-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2006-08-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER, indirect 2006-08-01
WINONA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2006-08-01
BLACKCRANE CAPITAL, LLC SHAREHOLDER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 1994-04-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2006-08-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2006-09-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2007-12-01
GQG PARTNERS LLC MEMBER indirect 2006-08-01
GQG PARTNERS LLC SHAREHOLDER indirect 2007-12-01
LNC INVESTMENT CO., LLC MEMBER NORTHERN LIGHTS CAPITAL PARTNERS. LLC 05/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-05-01
APERIO GROUP, LLC MEMBER indirect 2010-05-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2010-05-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2007-01-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2007-01-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-01-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2010-05-01
DEL REY GLOBAL INVESTORS, LLC UNITHOLDER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2010-05-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER direct 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2010-05-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2010-05-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2010-05-01
GOODHART PARTNERS LLP MEMBER indirect 2010-05-01
GQG PARTNERS LLC MEMBER indirect 2010-05-01
WHITE PINE, INC. MEMBER LNC INVESTMENT CO., LLC 12/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GQG PARTNERS LLC MEMBER indirect 2007-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2007-12-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2007-12-01
LAIRD NORTON COMPANY MEMBER LNC INVESTMENT CO., LLC 08/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2006-08-01
APERIO GROUP, LLC SHAREHOLDER indirect 2007-12-01
TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 1994-04-01
LAIRD NORTON TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 2004-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2006-08-01
ELESSAR INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2006-08-01
TAMRO CAPITAL PARTNERS LLC SHAREHOLDER indirect 2007-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 1994-04-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
BME INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2006-08-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2006-08-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER, indirect 2006-08-01
WINONA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2006-08-01
BLACKCRANE CAPITAL, LLC SHAREHOLDER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 1994-04-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2006-08-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2006-09-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2007-12-01
GQG PARTNERS LLC MEMBER indirect 2006-08-01
GQG PARTNERS LLC SHAREHOLDER indirect 2007-12-01
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO II, LLC 12/01/2016 Indirect 75% or more

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