BOSTON COMMON ASSET MANAGEMENT, LLC

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Boston Common Asset Management is based out of Boston. Boston Common Asset Management is a large advisory firm with discretionary assets under management (AUM) of $20,273,508,381 (Form ADV from 2017-11-15). Their last reported 13F filing for Q3 2019 included $809,898,000 in managed 13F securities and a top 10 holdings concentration of 26.31%. Boston Common Asset Management's largest holding is Alibaba Group Holding Ltd ADR with shares held of 227,726. Boston Common Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 51 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $809.898 Million
  • Prior Market Value $802.642 Million
  • New Purchases14 stocks
  • Additional Purchases58 stocks
  • Sold out of10 stocks
  • Reduced holdings in101 stocks
  • Top 10 Holdings % 26.31 %
  • Turnover % [1]:12.90%
  • Turnover Alt % [2]: 8.76 %
  • Time Held Top20:10.50 quarters
  • Time Held Top10:7.30 quarters
  • Time Held All:18.38 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: 9.59%
Performance Last 4 Quarters: 15.7%
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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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 (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (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 (Subscription required)
  • 2012-03-31 - 13F-HR/A (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 (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (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 (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

THE BOSTON COMPANY ASSET MANAGEMENT LLC
Classified as Hedge Fund
ONE BOSTON PLACE
BOSTON MA    02108
Country: United States

Business Phone: 617-722-3553
Fax: 617-722-3928
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MA
Number of employees: 149
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: 198,480,000
Total Number of Clients: 0
Amount of client funds and securities by related persons: 4,930,710,000
Total Number of clients from related persons: 46
Disclosures: 11.C (2),11.C (5),11.D (2),11.H (1).(c)
Data above was derived from SEC filings.

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BOSTON COMMON ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
AIYER, GEETA, BHIDE MEMBER 09/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GEETA AIYER ASSOCIATES, LLC MEMBER direct 1958-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2002-09-01
BOSTON COMMON ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2004-08-01
BOSTON COMMON ASSET MANAGEMENT, LLC PRESIDENT direct 2004-08-01
COMPERE, LAUREN, MARIE MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2008-11-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
ZALOSH, MATTHEW, ADAM MEMBER 04/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC CIO, INTERNATIONAL direct 2004-12-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
HEIM, STEVEN, F. MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2008-11-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
SPADY, NANCY, GROSSMAN MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC DIRECTOR direct 2009-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
EISNOR, KRISTINA, INGRID CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
NUMERIC INVESTORS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
Abichandani, Praveen MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
Biemans, Corne MEMBER 10/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2016-10-01
ROSEMONT PARTNERS III, LP MEMBER 10/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARTLAND & CO., LLC MEMBER direct 2017-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER direct 2016-09-01
LITMAN GREGORY ASSET MANAGEMENT, LLC OWNER direct 2013-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2016-10-01
SILK INVEST LIMITED SHAREHOLDER direct 2013-07-01
SILK INVEST LIMITED GP indirect 2013-07-01
PALADIN INVESTMENT PARTNERS LLC MEMBER direct 2012-06-01
FOUNDRY PARTNERS, LLC MEMBER direct 2012-10-01
LAFAYETTE ADVISORS LLC MEMBER indirect 2016-09-01
ROSEMONT INVESTMENT PARTNERS III, LLC GP ROSEMONT PARTNERS III, LP 10/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
HARTLAND & CO., LLC GENERAL PARTNER indirect 2010-10-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-10-01
LITMAN GREGORY ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC GP indirect 2010-10-01
SILK INVEST LIMITED GP indirect 2013-07-01
SILK INVEST LIMITED GP indirect 2013-07-01
PALADIN INVESTMENT PARTNERS LLC GP indirect 2010-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BOSTON COMMON INTERNATIONAL SUSTAINABLE CLIMATE FUND, LLC United States 805-2961110191 Other Private Fund LONG-ONLY EQUITY FUND 125,683,254 1,000,000
BOSTON COMMON GLOBAL CATHOLIC POSITIVE EQUITY FUND LLC United States 805-7649959180 Other Private Fund LONG ONLY GLOBAL FUND 12,549,325 1,000,000
BOSTON COMMON SUSTAINABLE EMERGING MARKETS FUND, LLC United States 805-7167411329 Other Private Fund LONG-ONLY EQUITY FUND 32,205,753 1,000,000
BOSTON COMMON INTERNATIONAL CATHOLIC SRI FUND LLC United States 805-9839698904 Other Private Fund LONG-ONLY EQUITY FUND 337,780,595 2,000,000
BOSTON COMMON INTERNATIONAL SOCIAL FUND, LLC United States 805-4547994416 Other Private Fund LONG-ONLY EQUITY FUND 188,184,964 2,000,000
BOSTON COMMON ALL COUNTRY INTERNATIONAL FUND, LLC United States 805-5277925640 Other Private Fund LONG-ONLY EQUITY FUND 24,058,028 2,000,000
BOSTON COMMON SMALL CAP SOCIAL FUND, LLC United States 805-8808957151 Other Private Fund LONG-ONLY EQUITY FUND 37,557,860 250,000

BOSTON COMMON ASSET MANAGEMENT, LLC

ownership team - last updated 2018-06-07
Name Title Start Date Direct/Indirect % Ownership
AIYER, GEETA, BHIDE MEMBER 09/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GEETA AIYER ASSOCIATES, LLC MEMBER direct 1958-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2002-09-01
BOSTON COMMON ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2004-08-01
BOSTON COMMON ASSET MANAGEMENT, LLC PRESIDENT direct 2004-08-01
COMPERE, LAUREN, MARIE MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2008-11-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
ZALOSH, MATTHEW, ADAM MEMBER 04/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC CIO, INTERNATIONAL direct 2004-12-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
HEIM, STEVEN, F. MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2008-11-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
SPADY, NANCY, GROSSMAN MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC DIRECTOR direct 2009-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
EISNOR, KRISTINA, INGRID CHIEF COMPLIANCE OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
NUMERIC INVESTORS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
Abichandani, Praveen MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2009-04-01
Biemans, Corne MEMBER 10/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2016-10-01
ROSEMONT PARTNERS III, LP MEMBER 10/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARTLAND & CO., LLC MEMBER direct 2017-03-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC MEMBER direct 2016-09-01
LITMAN GREGORY ASSET MANAGEMENT, LLC OWNER direct 2013-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC MEMBER direct 2016-10-01
SILK INVEST LIMITED SHAREHOLDER direct 2013-07-01
SILK INVEST LIMITED GP indirect 2013-07-01
PALADIN INVESTMENT PARTNERS LLC MEMBER direct 2012-06-01
FOUNDRY PARTNERS, LLC MEMBER direct 2012-10-01
LAFAYETTE ADVISORS LLC MEMBER indirect 2016-09-01
ROSEMONT INVESTMENT PARTNERS III, LLC GP ROSEMONT PARTNERS III, LP 10/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
HARTLAND & CO., LLC GENERAL PARTNER indirect 2010-10-01
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-10-01
LITMAN GREGORY ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-04-01
BOSTON COMMON ASSET MANAGEMENT, LLC GP indirect 2010-10-01
SILK INVEST LIMITED GP indirect 2013-07-01
SILK INVEST LIMITED GP indirect 2013-07-01
PALADIN INVESTMENT PARTNERS LLC GP indirect 2010-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BOSTON COMMON INTERNATIONAL SUSTAINABLE CLIMATE FUND, LLC United States 805-2961110191 Other Private Fund LONG-ONLY EQUITY FUND 118,610,557 1,000,000
BOSTON COMMON GLOBAL CATHOLIC POSITIVE EQUITY FUND LLC United States 805-7649959180 Other Private Fund LONG ONLY GLOBAL FUND 13,718,415 1,000,000
BOSTON COMMON SUSTAINABLE EMERGING MARKETS FUND, LLC United States 805-7167411329 Other Private Fund LONG-ONLY EQUITY FUND 10,389,536 1,000,000
BOSTON COMMON INTERNATIONAL CATHOLIC SRI FUND LLC United States 805-9839698904 Other Private Fund LONG-ONLY EQUITY FUND 365,867,479 2,000,000
BOSTON COMMON INTERNATIONAL SOCIAL FUND, LLC United States 805-4547994416 Other Private Fund LONG-ONLY EQUITY FUND 215,291,932 2,000,000
BOSTON COMMON ALL COUNTRY INTERNATIONAL FUND, LLC United States 805-5277925640 Other Private Fund LONG-ONLY EQUITY FUND 60,085,363 2,000,000
BOSTON COMMON SMALL CAP SOCIAL FUND, LLC United States 805-8808957151 Other Private Fund LONG-ONLY EQUITY FUND 52,153,956 250,000

THE BOSTON COMPANY ASSET MANAGEMENT LLC

ownership team - last updated 2017-11-15
Name Title Start Date Direct/Indirect % Ownership
CASSEDY, JENNIFER CHIEF COMPLIANCE OFFICER & CHIEF ADMINISTRATIVE OFFICER 06/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT direct 2007-10-01
BOSTON SAFE ADVISERS INC DIRECTOR OF COMPLIANCE direct 2000-06-01 2001-01-29
THE BOSTON COMPANY ASSET MANAGEMENT LLC DIRECTOR OF COMPLIANCE direct 2000-06-01 2004-08-05
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT direct 2007-10-01 2007-10-26
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2000-06-01 2017-07-06
LADD, EDWARD, HOMER MANAGER 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH AYER & WOOD INC CHAIRMAN, MANAGING DIRECTOR direct 1962-06-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC DIRECTOR direct 1991-05-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN EMERITUS OF STANDISH, BOARD MEMBER direct 2001-07-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2003-07-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC MANAGER indirect 2003-07-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC MANAGER direct 2007-10-01
NEWTON CAPITAL MANAGEMENT LTD DIRECTOR direct 2014-11-01
STANDISH AYER & WOOD INC CHAIRMAN, PRINCIPAL direct 1962-06-01 2000-11-17
STANDISH AYER & WOOD INC CHAIRMAN, DIRECTOR direct 1962-06-01 2001-02-06
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC TRUSTEE indirect 2000-04-01 2001-02-27
STANDISH MELLON ASSET MANAGEMENT COMPANY, LLC CHAIRMAN AND DIRECTOR direct 2001-07-01 2002-01-03
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN, MANAGING DIRECTOR, BOARD MANAGER direct 2001-07-01 2003-05-08
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN, BOARD MANAGER, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2001-07-01 2003-08-28
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN OF THE BOARD, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2001-07-01 2004-09-16
THE BOSTON COMPANY ASSET MANAGEMENT LLC DIRECTOR OF MANAGER direct 2003-07-01 2005-09-09
THE BOSTON COMPANY ASSET MANAGEMENT LLC DIRECTOR direct 2003-07-01 2006-08-02
THE BOSTON COMPANY ASSET MANAGEMENT LLC ELECTED MANAGER indirect 2003-07-01 2006-10-05
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN EMERITUS OF SMAM, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2001-07-01 2007-03-21
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN EMERITUS OF SMAM, EXECUTIVE MANAGEMENT COMMITTEE MEMBER, BOARD MEMBER direct 2001-07-01 2007-07-05
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN EMERITUS OF SMAM, OPERATING GROUP MEMBER, BOARD MEMBER direct 2001-07-01 2008-01-16
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN EMERITUS OF STANDISH, OPERATING GROUP MEMBER, BOARD MEMBER direct 2001-07-01 2008-09-23
PARETO INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2008-04-01 2012-07-17
GENNACO, JOSEPH, PATRICK MANAGER 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2008-02-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC PRESIDENT & CHIEF OPERATING OFFICER/MANAGER direct 2008-02-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2008-02-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC PRESIDENT & CHIEF OPERATING OFFICER direct 2008-02-01
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS direct 2016-07-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC BOARD MEMBER, TRUSTEE OF SOLE OWNER direct 2016-07-01
ALCENTRA NY, LLC BOARD MEMBER direct 2016-07-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC CHIEF OPERATING OFFICER AND EXECUTIVE VICE PRESIDENT direct 2008-02-01
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC ELECTED MANAGER direct 2015-06-01
JOFFE, ADAM, BRETT CHAIRMAN & CHIEF EXECUTIVE OFFICER, MANAGER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER, MANAGER direct 2014-10-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2014-10-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHAIRMAN, CEO & CHIEF OPERATING OFFICER, MANAGER direct 2014-10-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC CHAIRMAN & CHIEF EXECUTIVE OFFICER, MANAGER direct 2014-10-01
DB INVESTMENT MANAGERS, INC DIRECTOR direct 2009-02-01
DB INVESTMENT MANAGERS, INC CHIEF OPERATING OFFICER direct 2009-10-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2010-08-01
DAGLIO, DAVID, ANTONIO MANAGER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2015-03-01
BRISK, GREGORY, ALLAN MANAGER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CUTWATER ASSET MANAGEMENT CORP. DIRECTOR direct 2015-01-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2016-07-01
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS direct 2016-07-01
PARETO INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2016-05-01
CUTWATER INVESTOR SERVICES CORP. DIRECTOR direct 2015-01-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD DIRECTOR direct 2016-05-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC BOARD MEMBER, TRUSTEE OF SOLE OWNER direct 2016-07-01
ALCENTRA NY, LLC BOARD MEMBER direct 2016-01-01
EACM ADVISORS LLC MANAGER direct 2016-07-01
BLACKFRIARS ASSET MANAGEMENT LIMITED EXECUTIVE OFFICER direct 2010-08-01
ALCENTRA LIMITED BOARD MEMBER direct 2012-03-01
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED DIRECTOR direct 2010-08-01
MBC INVESTMENTS CORPORATION SOLE MEMBER 04/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER direct 1992-07-01
PARETO NEW YORK LLC SHAREHOLDER indirect 1992-08-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD OWNER indirect 2012-11-01
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 2012-11-01
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD OWNER indirect 2012-11-01
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2012-11-01
WALTER SCOTT & PARTNERS LIMITED OWNER indirect 2013-02-01
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED SHAREHOLDER indirect 2013-06-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED SHAREHOLDER indirect 2013-06-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED SHAREHOLDER indirect 2013-06-01
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED SHAREHOLDER indirect 2013-06-01
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC OWNER direct 2015-06-01
TIBER CAPITAL MANAGEMENT, LLC SOLE MEMBER direct 2015-07-01
EACM ADVISORS LLC MEMBER direct 2016-01-01
THE DREYFUS CORPORATION SOLE SHAREHOLDER direct 2017-02-01
MBSC SECURITIES CORPORATION OWNER indirect 2017-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC INDIRECT OWNER indirect 2017-03-01
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC SOLE MEMBER direct 2017-04-01
NEWTON CAPITAL MANAGEMENT LTD OWNER indirect 1998-10-01 2001-04-11
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 1992-07-01 2001-05-18
SINOPIA ASSET MANAGEMENT SHAREHOLDER direct 1996-10-01 2001-06-26
PARETO PARTNERS INDIRECT PARTNER indirect 1991-03-01 2002-05-21
PRIME ADVISORS INC SHAREHOLDER direct 1998-07-01 2003-03-31
PARETO PARTNERS SHAREHOLDER indirect 2001-03-01 2004-06-21
PARETO PARTNERS SHAREHOLDER indirect 1991-03-01 2006-05-09
EACM ADVISORS LLC MEMBER direct 2004-06-01 2007-03-30
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2009-02-26
BLACKFRIARS ASSET MANAGEMENT LIMITED MEMBER indirect 1998-10-01 2011-04-01
WALTER SCOTT & PARTNERS LIMITED OWNER indirect 1998-10-01 2011-05-27
NEWTON CAPITAL MANAGEMENT LTD OWNER indirect 1998-10-01 2012-03-29
WALTER SCOTT & PARTNERS LIMITED OWNER indirect 2011-09-01 2012-08-23
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 1991-03-01 2013-07-09
NEWTON CAPITAL MANAGEMENT LTD OWNER indirect 1998-10-01 2013-11-11
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2012-11-01 2016-03-30
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-03-01 2017-03-31
EACM ADVISORS LLC MEMBER indirect 2007-05-01 2017-07-05
MAC INTYRE, JAMES, DESMOND MANAGER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2017-07-01
PARETO PARTNERS CHIEF OPERATING OFFICER direct 2003-11-01
PARETO PARTNERS CHIEF OPERATING OFFICER direct 2003-11-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER, BOARD MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PRESIDENT, OPERATING GROUP MEMBER, BOARD MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHIEF OPERATING OFFICER, SECRETARY, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER, BOARD MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PRESIDENT, CHIEF OPERATING OFFICER, SECRETARY, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PRESIDENT, CHIEF OPERATING OFFICER, OPERATING GROUP MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PRESIDENT, BOARD MEMBER direct 2005-02-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY, EXECUTIVE MANAGEMENT COMMITTEE MEMBER direct 2005-04-01
EACM ADVISORS LLC MANAGER direct 2017-07-01
LEWIN, JAMIE, WILLIAM MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE BOSTON COMPANY ASSET MANAGEMENT LLC MANAGER direct 2017-10-01
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS direct 2017-10-01
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS direct 2017-11-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC BOARD MEMBER direct 2017-10-01
LILLARD, LINDA, TUNG MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER direct 2010-02-01
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR, INFORMATION TECHNOLOGY direct 2001-05-01 2007-08-31
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR, CHIEF INFORMATION OFFICER direct 2007-10-01 2009-11-13
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR, DEPUTY CHIEF OPERATING OFFICER direct 2010-02-01 2011-02-24
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER direct 2011-03-01 2011-03-14
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2010-02-01 2013-04-16
Oomen, Matthew, John MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED DIRECTOR direct 2015-12-01
OVER, ALEXANDER, BRIAN MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC DIRECTOR OF SALES, MARKETING AND CONSULTANT RELATIONS, BOARD MEMBER direct 2008-03-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC MANAGING DIRECTOR OF GLOBAL SALES AND MARKETING, BOARD MEMBER, CHIEF EXECUTIVE OFFICER OF BNY MELLON ASSET MANAGEMENT (UK) LTD direct 2008-03-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC MANAGING DIRECTOR OF SALES, MARKETING AND CONSULTANT RELATIONS, BOARD MEMBER direct 2008-03-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC MANAGING DIRECTOR OF GLOBAL SALES AND MARKETING, BOARD MEMBER direct 2008-03-01
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED DIRECTOR direct 2010-10-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED DIRECTOR direct 2014-10-01
PARCELLA, GABRIELA, FRANCO MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MELLON CAPITAL MANAGEMENT CORPORATION CHAIRMAN, PRESIDENT, AND CHIEF EXECUTIVE OFFICER direct 2007-10-01
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR & GENERAL COUNSEL direct 2001-05-01 2005-04-11
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2005-12-01 2006-03-31
MELLON CAPITAL MANAGEMENT CORPORATION MANAGING DIRECTOR, BUSINESS OPERATIONS direct 2006-09-01 2007-08-31
MELLON CAPITAL MANAGEMENT CORPORATION EVP AND CHIEF OPERATING OFFICER direct 2007-10-01 2011-02-24
MELLON CAPITAL MANAGEMENT CORPORATION CHIEF EXECUTIVE OFFICER direct 2011-03-01 2011-03-14
MELLON CAPITAL MANAGEMENT CORPORATION CHIEF EXECUTIVE OFFICER direct 2007-10-01 2011-11-02
MELLON CAPITAL MANAGEMENT CORPORATION CHIEF EXECUTIVE OFFICER AND BOARD OF DIRECTORS direct 2007-10-01 2012-11-14
MELLON CAPITAL MANAGEMENT CORPORATION CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2007-10-01 2015-03-31
ZHANG, JEFF, JIANFENG MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2009-01-01
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, ACTIVE STRATEGIES & BOARD OF DIRECTORS direct 2009-01-01
MELLON CAPITAL MANAGEMENT CORPORATION EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, BOARD OF DIRECTORS direct 2009-01-01
LOEB, THOMAS MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS & CHAIRMAN EMERITUS direct 2006-01-01
MELLON CAPITAL MANAGEMENT CORPORATION DIRECTOR, CHAIRMAN, CEO direct 1983-10-01 2005-02-04
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS, CHAIRMAN & CEO direct 1983-10-01 2005-12-07
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS & CHAIRMAN direct 2006-01-01 2011-02-24
MELLON CAPITAL MANAGEMENT CORPORATION BOARD OF DIRECTORS & CHAIRMAN EMERITUS direct 2011-03-01 2011-03-14
LEDUC, DAVID, C MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH AYER & WOOD INC DIRECTOR, VICE PRESIDENT direct 1995-01-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER direct 2015-08-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC TRUSTEE indirect 2000-12-01 2001-02-27
GERMANO, MICHAEL, ANTHONY MANAGER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED CHIEF FINANCIAL OFFICER direct 2014-04-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED CHIEF FINANCIAL OFFICER direct 2014-04-01
THE BANK OF NEW YORK MELLON CORPORATION SHAREHOLDER MBC INVESTMENTS CORPORATION 12/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE BANK OF NEW YORK CAPITAL MARKETS LTD SHAREHOLDER indirect 1983-04-01
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC OWNER indirect 1987-05-01
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD OWNER indirect 1987-05-01
THE DREYFUS CORPORATION SOLE SHAREHOLDER indirect 1987-05-01
BNY ASSOCIATES INCORPORATED SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC. indirect 1996-09-01
WALTER SCOTT & PARTNERS LIMITED OWNER indirect 1998-10-01
BNY INVESTMENT CENTER INC. SHAREHOLDER indirect 1999-03-01
THE BANK OF NEW YORK SHAREHOLDER direct 1999-03-01
ESTABROOK CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 1999-10-01
GANNETT WELSH & KOTLER INC DIRECT OWNER direct 2002-04-01
GANNETT WELSH & KOTLER INC INDIRECT OWNER direct 2002-04-01
BEACON FIDUCIARY ADVISORS, INC. DIRECT OWNER direct 2002-05-01
HEDGEMARK ADVISORS, LLC MEMBER indirect 2004-06-01
HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC MEMBER indirect 2004-06-01
LOCKWOOD CAPITAL MANAGEMENT, INC SHAREHOLDER indirect 2004-06-01
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01
PERSHING LLC WHOLLY-OWNED SUBSIDIARY indirect 2005-03-01
ALCENTRA LIMITED SHAREHOLDER indirect 2006-01-01
CENTERSQUARE INVESTMENT MANAGEMENT, INC. HOLDING COMPANY indirect 2006-02-01
URDANG CAPITAL MANAGEMENT INC OWNER direct 2006-03-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED OWNER indirect 2007-07-01
FRANKLIN PORTFOLIO ASSOCIATES LLC SOLE SHAREHOLDER indirect 2007-07-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED SOLE SHAREHOLDER indirect 2007-07-01
PARETO NEW YORK LLC SHAREHOLDER indirect 2007-07-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED SOLE SHAREHOLDER indirect 2007-07-01
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED SOLE SHAREHOLDER indirect 2007-07-01
MBSC SECURITIES CORPORATION OWNER indirect 2007-07-01
MELLON EQUITY ASSOCIATES LLP INDIRECT OWNER indirect 2007-07-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD OWNER indirect 2007-07-01
BOSTON SAFE ADVISORS, INC. SHAREHOLDER indirect 2007-07-01
BNY JAYWALK LLC MEMBER indirect 2007-07-01
FOUNDERS ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-07-01
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 2007-07-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01
CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER, MEMBER indirect 2007-09-01
BNY MELLON ARX INVESTIMENTOS LTDA SHAREHOLDER direct 2008-05-01
IVY ASSET MANAGEMENT LLC 100% OWNER OF ALTERNATIVE HOLDINGS II, LLC indirect 2008-12-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2008-12-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC SHAREHOLDER indirect 2008-12-01
NORTH FORTY MANAGEMENT, LLC TRUSTEE indirect 2009-04-01
BNY MELLON MANAGED INVESTMENTS, INC. SHAREHOLDER indirect 2010-07-01
HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC MEMBER indirect 2011-01-01
484WALL CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2013-09-01
CUTWATER ASSET MANAGEMENT CORP. INDIRECT OWNER OF CAMC indirect 2015-01-01
CUTWATER ASSET MANAGEMENT CORP. INDIRECT OWNER indirect 2015-01-01
CUTWATER INVESTOR SERVICES CORP. INDIRECT OWNER indirect 2015-01-01
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED SOLE SHAREHOLDER indirect 2017-03-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER direct 2017-03-01
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD SOLE indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 2017-04-01
EACM ADVISORS LLC MEMBER indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
PERSHING LLC SHAREHOLDER direct 2003-05-01 2005-03-07
PERSHING LLC SHAREHOLDER indirect 2003-05-01 2005-03-07
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2006-03-01
ICP ASSET MANAGEMENT LLC 49.9% OWNER indirect 2005-09-01 2006-03-22
THE BANK OF NEW YORK CAPITAL MARKETS LTD SHAREHOLDER direct 1983-04-01 2006-03-29
BNY BROKERAGE INC. SHAREHOLDER indirect 2000-05-01 2006-09-15
GANNETT WELSH & KOTLER, LLC HOLDING COMPANY indirect 2002-04-01 2007-03-28
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2007-03-30
URDANG SECURITIES MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2007-03-30
URDANG CAPITAL MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2007-03-30
ICP ASSET MANAGEMENT LLC 15% NON-VOTING INTEREST indirect 2006-05-01 2007-05-21
BNY BROKERAGE INC. SHAREHOLDER indirect 2006-10-01 2007-06-22
BNY JAYWALK LLC SHAREHOLDER indirect 2007-07-01 2007-07-18
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER indirect 2007-07-01 2007-08-27
LOCKWOOD CAPITAL MANAGEMENT, INC SHAREHOLDER indirect 2004-06-01 2008-01-28
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2008-01-28
IVY ASSET MANAGEMENT CORP OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. direct 2000-10-01 2008-03-27
GANNETT WELSH & KOTLER, LLC HOLDING COMPANY indirect 2002-04-01 2008-03-27
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-07-01 2008-04-25
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC SHAREHOLDER indirect 2007-07-01 2008-04-25
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PARTIAL OWNER indirect 2003-07-01 2008-09-23
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01 2008-09-23
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER indirect 2007-09-01 2008-11-19
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2009-02-26
ICP ASSET MANAGEMENT LLC 4.9% NON VOTING INTEREST indirect 2006-05-01 2009-10-30
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2010-05-26
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2011-04-01
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT COMPANY direct 2008-12-01 2011-04-01
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2011-08-16
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER, MEMBER indirect 2007-09-01 2011-09-29
NORTH FORTY MANAGEMENT, LLC TRUSTEE indirect 2009-04-01 2012-05-09
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2013-01-31
CAPITAL IMPACT ADVISORS, LLC TRUSTEE indirect 2013-04-01 2013-07-11
484WALL CAPITAL MANAGEMENT LLC OWNER indirect 2013-09-01 2013-10-04
HEDGEMARK ADVISORS, LLC MEMBER indirect 2011-01-01 2014-03-31
HEDGEMARK ADVISORS, LLC MEMBER indirect 2004-06-01 2014-05-22
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 2007-07-01 2015-11-27
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED SOLE SHAREHOLDER indirect 2007-07-01 2016-05-26
BNYM REAL ESTATE CAPITAL PARTNERS LLC SOLE OWNER indirect 2014-11-01 2017-01-18
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01 2017-01-19
MELLON HEDGE ADVISORS, LLC SHAREHOLDER indirect 2007-07-01 2017-01-25
THE DREYFUS CORPORATION SOLE SHAREHOLDER direct 2007-07-01 2017-02-15
MBSC SECURITIES CORPORATION OWNER indirect 2007-07-01 2017-02-22
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2008-12-01 2017-03-30
THE BOSTON COMPANY ASSET MANAGEMENT LLC SOLE OWNER indirect 2017-03-01 2017-03-30
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD OWNER indirect 2007-07-01 2017-03-31
AMHERST CAPITAL MANAGEMENT LLC MEMBER indirect 2017-03-01 2017-03-31
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-03-01 2017-03-31
ALCENTRA NY, LLC SHAREHOLDER indirect 2006-01-01 2017-04-03
URDANG SECURITIES MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2017-04-11
EACM ADVISORS LLC SHAREHOLDER indirect 2007-07-01 2017-07-05
BNY MELLON IHC, LLC SOLE OWNER MBC INVESTMENTS CORPORATION 04/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE BANK OF NEW YORK CAPITAL MARKETS LTD SHAREHOLDER indirect 1983-04-01
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC OWNER indirect 1987-05-01
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD OWNER indirect 1987-05-01
THE DREYFUS CORPORATION SOLE SHAREHOLDER indirect 1987-05-01
BNY ASSOCIATES INCORPORATED SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC. indirect 1996-09-01
WALTER SCOTT & PARTNERS LIMITED OWNER indirect 1998-10-01
BNY INVESTMENT CENTER INC. SHAREHOLDER indirect 1999-03-01
THE BANK OF NEW YORK SHAREHOLDER direct 1999-03-01
ESTABROOK CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 1999-10-01
GANNETT WELSH & KOTLER INC DIRECT OWNER direct 2002-04-01
GANNETT WELSH & KOTLER INC INDIRECT OWNER direct 2002-04-01
BEACON FIDUCIARY ADVISORS, INC. DIRECT OWNER direct 2002-05-01
HEDGEMARK ADVISORS, LLC MEMBER indirect 2004-06-01
HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC MEMBER indirect 2004-06-01
LOCKWOOD CAPITAL MANAGEMENT, INC SHAREHOLDER indirect 2004-06-01
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01
PERSHING LLC WHOLLY-OWNED SUBSIDIARY indirect 2005-03-01
ALCENTRA LIMITED SHAREHOLDER indirect 2006-01-01
CENTERSQUARE INVESTMENT MANAGEMENT, INC. HOLDING COMPANY indirect 2006-02-01
URDANG CAPITAL MANAGEMENT INC OWNER direct 2006-03-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED OWNER indirect 2007-07-01
FRANKLIN PORTFOLIO ASSOCIATES LLC SOLE SHAREHOLDER indirect 2007-07-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED SOLE SHAREHOLDER indirect 2007-07-01
PARETO NEW YORK LLC SHAREHOLDER indirect 2007-07-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED SOLE SHAREHOLDER indirect 2007-07-01
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED SOLE SHAREHOLDER indirect 2007-07-01
MBSC SECURITIES CORPORATION OWNER indirect 2007-07-01
MELLON EQUITY ASSOCIATES LLP INDIRECT OWNER indirect 2007-07-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD OWNER indirect 2007-07-01
BOSTON SAFE ADVISORS, INC. SHAREHOLDER indirect 2007-07-01
BNY JAYWALK LLC MEMBER indirect 2007-07-01
FOUNDERS ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-07-01
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 2007-07-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01
CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER, MEMBER indirect 2007-09-01
BNY MELLON ARX INVESTIMENTOS LTDA SHAREHOLDER direct 2008-05-01
IVY ASSET MANAGEMENT LLC 100% OWNER OF ALTERNATIVE HOLDINGS II, LLC indirect 2008-12-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2008-12-01
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC SHAREHOLDER indirect 2008-12-01
NORTH FORTY MANAGEMENT, LLC TRUSTEE indirect 2009-04-01
BNY MELLON MANAGED INVESTMENTS, INC. SHAREHOLDER indirect 2010-07-01
HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC MEMBER indirect 2011-01-01
484WALL CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2013-09-01
CUTWATER ASSET MANAGEMENT CORP. INDIRECT OWNER OF CAMC indirect 2015-01-01
CUTWATER ASSET MANAGEMENT CORP. INDIRECT OWNER indirect 2015-01-01
CUTWATER INVESTOR SERVICES CORP. INDIRECT OWNER indirect 2015-01-01
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED SOLE SHAREHOLDER indirect 2017-03-01
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER direct 2017-03-01
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
THE BOSTON COMPANY ASSET MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-04-01
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD SOLE indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
MELLON CAPITAL MANAGEMENT CORPORATION SHAREHOLDER indirect 2017-04-01
EACM ADVISORS LLC MEMBER indirect 2017-04-01
ALCENTRA NY, LLC SHAREHOLDER indirect 2017-04-01
PERSHING LLC SHAREHOLDER direct 2003-05-01 2005-03-07
PERSHING LLC SHAREHOLDER indirect 2003-05-01 2005-03-07
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2006-03-01
ICP ASSET MANAGEMENT LLC 49.9% OWNER indirect 2005-09-01 2006-03-22
THE BANK OF NEW YORK CAPITAL MARKETS LTD SHAREHOLDER direct 1983-04-01 2006-03-29
BNY BROKERAGE INC. SHAREHOLDER indirect 2000-05-01 2006-09-15
GANNETT WELSH & KOTLER, LLC HOLDING COMPANY indirect 2002-04-01 2007-03-28
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2007-03-30
URDANG SECURITIES MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2007-03-30
URDANG CAPITAL MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2007-03-30
ICP ASSET MANAGEMENT LLC 15% NON-VOTING INTEREST indirect 2006-05-01 2007-05-21
BNY BROKERAGE INC. SHAREHOLDER indirect 2006-10-01 2007-06-22
BNY JAYWALK LLC SHAREHOLDER indirect 2007-07-01 2007-07-18
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER indirect 2007-07-01 2007-08-27
LOCKWOOD CAPITAL MANAGEMENT, INC SHAREHOLDER indirect 2004-06-01 2008-01-28
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2008-01-28
IVY ASSET MANAGEMENT CORP OWNER OF 100% OF IVY ASSET MANAGEMENT CORP. direct 2000-10-01 2008-03-27
GANNETT WELSH & KOTLER, LLC HOLDING COMPANY indirect 2002-04-01 2008-03-27
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2007-07-01 2008-04-25
THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC SHAREHOLDER indirect 2007-07-01 2008-04-25
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC PARTIAL OWNER indirect 2003-07-01 2008-09-23
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01 2008-09-23
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER indirect 2007-09-01 2008-11-19
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2009-02-26
ICP ASSET MANAGEMENT LLC 4.9% NON VOTING INTEREST indirect 2006-05-01 2009-10-30
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2010-05-26
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2011-04-01
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT COMPANY direct 2008-12-01 2011-04-01
BLACKFRIARS ASSET MANAGEMENT LIMITED PARENT indirect 1998-10-01 2011-08-16
BNY CONVERGEX EXECUTION SOLUTIONS LLC SHAREHOLDER, MEMBER indirect 2007-09-01 2011-09-29
NORTH FORTY MANAGEMENT, LLC TRUSTEE indirect 2009-04-01 2012-05-09
LOCKWOOD ADVISORS INC SHAREHOLDER indirect 2004-06-01 2013-01-31
CAPITAL IMPACT ADVISORS, LLC TRUSTEE indirect 2013-04-01 2013-07-11
484WALL CAPITAL MANAGEMENT LLC OWNER indirect 2013-09-01 2013-10-04
HEDGEMARK ADVISORS, LLC MEMBER indirect 2011-01-01 2014-03-31
HEDGEMARK ADVISORS, LLC MEMBER indirect 2004-06-01 2014-05-22
PARETO INVESTMENT MANAGEMENT LIMITED SHAREHOLDER indirect 2007-07-01 2015-11-27
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED SOLE SHAREHOLDER indirect 2007-07-01 2016-05-26
BNYM REAL ESTATE CAPITAL PARTNERS LLC SOLE OWNER indirect 2014-11-01 2017-01-18
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC SOLE OWNER indirect 2007-07-01 2017-01-19
MELLON HEDGE ADVISORS, LLC SHAREHOLDER indirect 2007-07-01 2017-01-25
THE DREYFUS CORPORATION SOLE SHAREHOLDER direct 2007-07-01 2017-02-15
MBSC SECURITIES CORPORATION OWNER indirect 2007-07-01 2017-02-22
THE BOSTON COMPANY ASSET MANAGEMENT LLC SHAREHOLDER indirect 2008-12-01 2017-03-30
THE BOSTON COMPANY ASSET MANAGEMENT LLC SOLE OWNER indirect 2017-03-01 2017-03-30
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD OWNER indirect 2007-07-01 2017-03-31
AMHERST CAPITAL MANAGEMENT LLC MEMBER indirect 2017-03-01 2017-03-31
AMHERST CAPITAL MANAGEMENT LLC SOLE OWNER indirect 2017-03-01 2017-03-31
ALCENTRA NY, LLC SHAREHOLDER indirect 2006-01-01 2017-04-03
URDANG SECURITIES MANAGEMENT INC HOLDING COMPANY indirect 2006-02-01 2017-04-11
EACM ADVISORS LLC SHAREHOLDER indirect 2007-07-01 2017-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBORWALK OPPORTUNISTIC INVESTOR, LP United States 805-6150709826 Hedge Fund 5,278,094 250,000
HARBORWALK MLP FUND, LP United States 805-4249143175 Hedge Fund 10,954,870 250,000
HARBORWALK OPPORTUNISTIC ALPHA FUND LP United States 805-2387061332 Hedge Fund 68,446,085 1,000,000
HARBORWALK OPPORTUNISTIC APPRECIATION FUND, LP United States 805-4511685821 Hedge Fund 111,471,383 250,000
HARBORWALK GLOBAL GROWTH, LP United States 805-4744057672 Hedge Fund 2,329,468 500,000

WhaleScore history for BOSTON COMMON ASSET MANAGEMENT, LLC

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