CHICKASAW CAPITAL MANAGEMENT LLC

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Chickasaw Capital Management is based out of Memphis. Chickasaw Capital Management is a large advisory firm with 1139 clients and discretionary assets under management (AUM) of $4,913,923,970 (Form ADV from 2019-01-02). Their last reported 13F filing for Q4 2018 included $3,431,625,000 in managed 13F securities and a top 10 holdings concentration of 64.82%. Chickasaw Capital Management's largest holding is Energy Transfer Equity LP with shares held of 31,124,150. Chickasaw Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 65 13F filings, and 42 13G filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $3.432 Billion
  • Prior Market Value $4.792 Billion
  • New Purchases5 stocks
  • Additional Purchases12 stocks
  • Sold out of28 stocks
  • Reduced holdings in45 stocks
  • Top 10 Holdings % 64.82 %
  • Turnover % [1]:37.93%
  • Turnover Alt % [2]: 22.93 %
  • Time Held Top20:21.30 quarters
  • Time Held Top10:8.40 quarters
  • Time Held All:24.67 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 2019-02-14

Performance for Q4 2018: 4.42%
Performance Last 4 Quarters: 1.72%
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:
  • 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 (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)
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  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
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  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR/A (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR/A (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CHICKASAW CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
6075 POPLAR AVE SUITE 720
MEMPHIS TN    38119
Country: United States
Business Phone: 901-537-1866
Fax: 901-537-1890
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 28
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Commissions,Performance-based fees
Amount of client funds and securities: 1,100,000
Total Number of Clients: 1139
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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CHICKASAW CAPITAL MANAGEMENT, LLC

ownership team - last updated 2017-03-24
Name Title Start Date Direct/Indirect % Ownership
MEAD, MATTHEW, GREGORY CLASS A MEMBER; MANAGING MEMBER 05/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS A MEMBER; MANAGING MEMBER direct 2003-05-01
CHICKASAW CAPITAL MANAGEMENT, LLC MANAGER direct 2003-05-01 2003-06-03
GREEN SQUARE CAPITAL MANAGEMENT, LLC MEMBER direct 2001-09-01 2003-09-10
CHICKASAW CAPITAL MANAGEMENT, LLC CHIEF MANAGER direct 2003-05-01 2007-01-12
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER direct 2003-05-01 2008-08-05
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS A SHARES direct 2003-05-01 2013-03-20
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS A SHARES, SENIOR MANAGING PRINCIPAL direct 2003-05-01 2014-03-21
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS A SHARES, MANAGING MEMBER direct 2003-05-01 2016-04-26
MAVAR, GEOFFREY, PAUL CLASS A MEMBER; MANAGING MEMBER 05/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS A MEMBER; MANAGING MEMBER direct 2003-05-01
GREEN SQUARE CAPITAL MANAGEMENT, LLC MEMBER direct 2001-09-01 2002-04-29
GREEN SQUARE CAPITAL MANAGEMENT, LLC MEMBER/CHIEF FINANCIAL OFFICER direct 2001-09-01 2003-09-10
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER direct 2003-05-01 2008-08-05
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER - CLASS A SHARES direct 2003-05-01 2011-03-31
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER - CLASS A SHARES; SENIOR MANAGING PRINCIPAL direct 2003-05-01 2013-03-20
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS A SHARES; SENIOR MANAGING PRINCIPAL direct 2003-05-01 2014-03-21
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS A SHARES; MANAGING MEMBER direct 2003-05-01 2016-04-26
MCADOO, DEBRA, A CLASS B MEMBER; CHIEF COMPLIANCE OFFICER 10/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS B MEMBER; CHIEF COMPLIANCE OFFICER direct 2003-10-01
POPE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2001-10-01 2002-05-06
POPE ASSET MANAGEMENT, LLC COMPLIANCE OFFICER direct 2001-10-01 2002-05-06
GREEN SQUARE CAPITAL MANAGEMENT, LLC COMPLIANCE MANAGER direct 2002-08-01 2003-09-10
CHICKASAW CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2003-10-01 2013-03-20
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS B SHARES, CCO direct 2003-10-01 2016-04-26
FLEISCHER, DAVID, NATHAN CLASS C MEMBER; TRUSTEE OF FLEISCHER 2012 FAMILY TRUST 12/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS C MEMBER; TRUSTEE OF FLEISCHER 2012 FAMILY TRUST direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS C SHARES direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER - CLASS C SHARES direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2013-01-01
WALKER, ROBERT, MARK THOMAS CLASS B MEMBER 01/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS B SHARES direct 2013-01-01
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS B MEMBER direct 2013-01-01
FLEISCHER 2012 FAMILY TRUST CLASS C MEMBER 01/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TYREE, DAVID W. PRESIDENT direct 1991-04-01
INVESTEC PMG CAPITAL MANAGING DIRECTOR/TREASURER/CHIEF COMPLIANCE OFFICER direct 1995-10-01
JAYHAWK PRIVATE EQUITY GP, L.P. MANAGING MEMBER indirect 1995-10-01
WHITEGATE INVESTMENT COUNSELORS INC SHAREHOLDER direct 1998-07-01
JGE CAPITAL MANAGEMENT, LLC TRUST indirect 1995-10-01
TAYLOR, COTTRILL, ERICKSON AND ASSOCIATES, INC. SHAREHOLDER indirect 1998-07-01
PENSION PORTFOLIO ADVISORS INC. N/A direct 1995-11-01
CORRELL CO. INVESTMENT SERVICES CORP. SHAREHOLDER direct 1995-11-01
BONNIE WUSZ & ASSOCIATES, INC. OWNER direct 1991-06-01
CORNERSTONE ADVISORS, LLC OWNER indirect 1982-08-01
MOSBY LINCOLN LC MEMBER MANAGER direct 1995-12-01
CAROL GRANT DESMOND OWNER direct 1982-12-01
HHH INVESTMENT INC PRESIDENT direct 1995-12-01
VAN BERKOM AND ASSOCIATES INC. PRESIDENT AND CHIEF EXECUTIVE OFFICER indirect 1991-07-01
SIFE DIRECTOR/OWNER direct 1995-12-01
AMERVEST COMPANY, INC. CCO / MANAGING DIRECTOR direct 1983-01-01
KAUFMAN BROS., L.P. LP direct 1995-12-01
SIRIUS PARTNERS, L.P. SHAREHOLDER indirect 1983-01-01
OVERLOOK INVESTMENTS L.P. GENERAL PARTNER direct 1995-12-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1983-02-01
RIGGS SECURITIES INC. SHAREHOLDER indirect 1991-09-01
P. R. HERZIG & CO. INC. BOARD OF DIRECTORS direct 1995-12-01
P. R. HERZIG & CO. INC. SHAREHOLDER direct 1995-12-01
GREENLEAF ASSET MANAGEMENT INC PRESIDENT direct 1991-10-01
P. R. HERZIG & CO. INC. TRUSTEE OF 2 TRUSTS indirect 1995-12-01
OWNERSHIP ADVISORS, INC. PRESIDENT direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
RANSON CAPITAL CORPORATION VP SEC. direct 1996-01-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1998-09-01
HOLT VALUE ASSOCIATES LP PRESIDENT indirect 1991-11-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1998-09-01
SOMERS ASSET MANAGEMENT INCORPORATED PRESIDENT direct 1991-11-01
OLYMPUS ADVISORS, LLC MEMBER direct 1996-01-01
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1996-02-01
ACCESS FINANCIAL GROUP, INC. OWNER direct 1996-02-01
MCELWAIN ROBERT JOHN PRESIDENT direct 1983-10-01
CAVALRY BANKING TRUST OFFICER/ SVP direct 1992-01-01
MIDWEST CAPITAL MANAGEMENT, INC. PRESIDENT direct 1996-03-01
CHAPLIN-MULLAUGH, INCORPORATED CORPORATE SECRETARY direct 1996-03-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE indirect 1998-10-01
HAMMER ASSET MANAGEMENT LLC TRUSTEE direct 1998-10-01
JGE CAPITAL MANAGEMENT, LLC MEMBER direct 1996-04-01
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED TRUSTEE indirect 1984-05-01
RYDER STILWELL INVESTMENT ADVISORS INC MAJORITY OWNER indirect 1992-04-01
CITY SECURITIES CORPORATION DIRECTOR direct 1998-11-01
FINANCIAL ADVISORY SERVICE INC JAMES G. DUSSOLD, TRUSTEE direct 1996-05-01
LM ADVISORS INC PRESIDENT direct 1984-07-01
DAWSON RUSSELL INC. PRESIDENT direct 1992-05-01
THE JENTNER CORPORATION OWNER direct 1984-10-01
CAVALRY BANKING TRUST OFFICER direct 1992-05-01
SANDER CAPITAL ADVISORS DIRECTOR, VICE PRESIDENT AND SECRETARY direct 1985-01-01
THE BAKER GROUP, LP CHAIRMAN AND PRESIDENT direct 1992-05-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1992-05-01
NORTHWEST FINANCIAL PLANNING CORP SHAREHOLDER direct 1992-07-01
WEXFORD CLEARING SERVICES CORPORATION SENIOR VICE PRESIDENT- CROP direct 1996-07-01
AMERICAN SUPERIOR CO TRUST direct 1996-07-01
ROOSEVELT INVESTMENT GROUP INC CHAIRMAN direct 1992-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1996-07-01
EIDELMAN FINGER HARRIS & CO PRESIDENT direct 1985-06-01
ROOSEVELT INVESTMENT GROUP INC SEC-TREASURER MANAGING DIR direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC VP INVESTMENTS direct 1992-07-01
DRV GROUP INC PRESIDENT direct 1996-08-01
ROOSEVELT INVESTMENT GROUP INC CEO direct 1992-07-01
ROOSEVELT INVESTMENT GROUP INC PRESIDENT direct 1992-07-01
THE BAKER GROUP, LP VICE PRES/MANAGING DIRECTOR direct 1996-08-01
RONALD OLSON, INC. STOCK HOLDER direct 1992-07-01
PERFORMANCE ENHANCEMENT TECHNOLOGIES LTD PRESIDENT/CIO direct 1985-12-01
FINANCIAL MANAGEMENT ADVISORS INC SHAREHOLDER indirect 1985-12-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
PINKERTON RETIREMENT SPECIALISTS, LLC OWNER indirect 1996-09-01
CAPITAL BUILDERS ADVISORY SERVICES INC SHAREHOLDER direct 1986-01-01
STANFORD ADVISORY GROUP, LLC CEO/CIO direct 1992-10-01
UNIVERSAL FINANCIAL SERVICES INC. DIRECTOR direct 1986-02-01
UNIVERSAL FINANCIAL SERVICES INC. CEO indirect 1986-02-01
HOLBEIN ASSOCIATES, INC. SECRETARY direct 1986-03-01
HOOPER R B & CO INC PRESIDENT direct 1992-11-01
CHARLES FISH INVESTMENTS, INC. SHAREHOLDER direct 1996-10-01
HOOPER R B & CO INC VICE PRESIDENT direct 1992-11-01
ORION FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1996-11-01
HERRMANN & COOKE, INC. DIRECT OWNER direct 1986-03-01
MACEY-HOLLAND & CO., LLC MANAGING MEMBER direct 1996-12-01
GREIG ASSOCIATES INC SENIOR VICE PRESIDENT direct 1986-04-01
GREIG ASSOCIATES INC SECRETARY direct 1986-04-01
ALEXANDER & MUCKERMANN PARTNER direct 1986-04-01
HONISS ROBIN OWNER direct 1993-01-01
BAY ISLE FINANCIAL CORP PRESIDENT direct 1986-06-01
KINGSTON INVESTMENT COUNSEL INC VICE PRESIDENT & SECRETARY direct 1993-01-01
BATCHELDER & PARTNERS, INC. OWNER direct 1997-01-01
BAY ISLE FINANCIAL CORP CHIEF INVESTMENT OFFICER direct 1986-06-01
PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. SHAREHOLDER direct 1993-01-01
NEUMEIER INVESTMENT COUNSEL LLC MEMBER direct 1997-01-01
INTEGRATED FINANCIAL PLANNING SERVICES PRESIDENT direct 1986-06-01
MANAGED ACCOUNT SERVICES INC SHAREHOLDER direct 1993-01-01
FINANCIAL ADVISORY SERVICE INC MAX W. GREER, JR., TRUSTEE direct 1986-08-01
MCCORMICK CAPITAL MANAGEMENT PRESIDENT direct 1986-09-01
HAROLD W. DANCE INC. S-CORP SHAREHOLDER, 16% direct 1993-04-01
ROSEMOUNT CAPITAL LIMITED TRUSTEE indirect 1997-01-01
FREMONT REALTY CAPITAL, L.P. SHAREHOLDER indirect 1997-02-01
SAUNDERS RETIREMENT ADVISORS, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1993-04-01
JUNDT ASSOCIATES INC TRUSTEE direct 1997-03-01
PREMIERETRADE SECURITIES, INC. TRUSTEE OF DICKS FAMILY TRUST direct 1993-05-01
FIDELITY FINANCIAL GROUP, INC. DIRECTOR direct 1987-02-01
SENA WELLER ROHS WILLIAMS INC. SENIOR VP direct 1993-06-01
SENA WELLER ROHS WILLIAMS INC. EXECUTIVE VP direct 1993-06-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1987-02-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
OSTERWEIS CAPITAL MANAGEMENT LLC MEMBER direct 1997-03-01
CONTEXT CAPITAL MANAGEMENT LLC TRUSTEE indirect 1993-06-01
JOHN MOORE & ASSOCIATES INC SHAREHOLDER direct 1997-03-01
CHURCHILL MANAGEMENT CORP SHAREHOLDER direct 1987-07-01
THE PORTOLA GROUP INC SHAREHOLDER direct 1987-08-01
MAHLER & EMERSON INC. SHAREHOLDER direct 1993-07-01
FFR ADVISORY LLC TRUSTEE indirect 1997-03-01
ARGOS INVESTMENT ADVISORS, LLC MEMBER indirect 1993-07-01
S.A.I. CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1997-03-01
SOCHET & COMPANY, INC. PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1987-08-01
ARNERICH MASSENA, INC. SHAREHOLDER direct 1993-07-01
THE PORTOLA GROUP INC SHAREHOLDER indirect 1987-08-01
BACK BAY ADVISORS GENERAL PARTNER direct 1993-09-01
SENTINEL ADVISORS LLC MEMBER direct 1997-04-01
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR direct 1987-09-01
VAN DEVENTER & HOCH VDH SHAREHOLDER direct 1993-10-01
LEE KRASNER GROUP LTD PRESIDENT/TREASURER direct 1993-10-01
REGISTER & AKERS INVESTMENTS, INC. PRINCIPAL direct 1997-04-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-10-01
TAYLOR STEPHENS INC GENERAL PARTNER indirect 1993-12-01
WAYZATA CAPITAL MANAGEMENT, INC. SHAREHOLDER direct 1997-05-01
SOUND FINANCIAL STRATEGIES GROUP, INC. FOUNDING PARTNER/CFO/CCO direct 1993-12-01
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1987-11-01
STEVEN A. NOROIAN & ASSOCIATES, INC. OWNER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER direct 1997-05-01
WELTON INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 1997-05-01
OSTERWEIS CAPITAL MANAGEMENT INC SHAREHOLDER direct 1994-01-01
WELTON FUND ADVISORS LLC SOLE SHAREHOLDER indirect 1997-05-01
WELTON INVESTMENT PARTNERS LLC SOLE SHAREHOLDER indirect 1997-05-01
TRENDSTAT CAPITAL MANAGEMENT INC. NO TITLE direct 1997-06-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. VICE PRESIDENT direct 1987-12-01
MACSHANE CAPITAL MANAGEMENT CO INC PRESIDENT direct 1988-01-01
SAGE, RUTTY & CO., INC. SHAREHOLDER direct 1994-01-01
POPULAR SECURITIES, INC. DIRECTOR direct 1997-07-01
MARSDEN JOHN RICHARD JR OWNER direct 1994-01-01
KLOSTERMAN CAPITAL CORP TRUST direct 1997-07-01
MORGAN JESS S & CO INC TRUST direct 1997-07-01
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD PARTNERSHIP direct 1994-02-01
THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 1997-07-01
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1988-01-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER direct 1994-03-01
BAI BONDSBERATUNG GES.M.B.H. SHAREHOLDER indirect 1994-03-01
JONES COMMODITIES, INC. SHAREHOLDER direct 1997-08-01
GREAT SOUTHERN CAPITAL MANAGEMENT, INC. PRESIDENT direct 1988-03-01
ADVISORS PENSION SERVICES AGENCY INC PRESIDENT direct 1988-04-01
CATHOLIC FINANCIAL SERVICES CORP VICE PRESIDENT, DIRECTOR direct 1994-06-01
GRAHAM CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 1994-06-01
KLAFF REALTY, LP OWNER indirect 1988-06-01
HELLMAN & FRIEDMAN ASSOCIATES III LP SHAREHOLDER indirect 1994-07-01
H&F INVESTORS III SHAREHOLDER indirect 1994-07-01
FIRST WESTERN ADVISORS PRESIDENT / DIRECTOR direct 1997-10-01
STEPHEN JONES CAPITAL MANAGEMENT, INC. 90% SHAREHOLDER direct 1997-11-01
HUTCHINSON/IFRAH FINANCIAL SERVICES, INC. CHAIRMAN & PRESIDENT direct 1988-08-01
SOUTH OCEAN MANAGEMENT LIMITED SHAREHOLDER direct 1994-09-01
JONES VILLALTA ASSET MANAGEMENT, LLC 90% SHAREHOLDER OF STEPHEN JONES CAPITAL MANAGEMENT, INC. indirect 1997-11-01
THE HOLLISTER ASSET MANAGEMENT CO, G.P. GENERAL PARTNER direct 1994-09-01
GLOBALVEST MANAGEMENT CO LP ESTABLISHED direct 1994-10-01
TRIGRAN INVESTMENTS, INC. TRUSTEE indirect 1988-11-01
J.J.B. HILLIARD, W.L. LYONS, LLC NAMED FIDUCIARY indirect 1988-11-01
IHP CAPITAL PARTNERS SHAREHOLDER direct 1997-12-01
MCCORMICK CAPITAL MANAGEMENT SECRETARY, TREASURER direct 1988-12-01
KAPLAN & CO. SECURITIES INC. CEO direct 1994-10-01
EAST PACIFIC INVESTMENT CO INC PRESIDENT direct 1989-01-01
LARIMER CAPITAL CORP SECRETARY direct 1989-01-01
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1998-01-01
KIT COLE INVESTMENT ADVISORY SERVICES SHAREHOLDER direct 1989-03-01
LOVELL INCORPORATED CORPORATE SECRETARY direct 1989-03-01
SAGE, RUTTY & CO., INC. DIRECTOR direct 1998-01-01
KURIYAMA & CO LLC MEMBER direct 1998-01-01
NEWPORT INVESTMENT ADVISORS INC CEO direct 1989-04-01
JULIUS BAER SECURITIES INC. FIRST VICE PRESIDENT direct 1994-12-01
SUMMIT PARTNERS V, L.P. LIMITED PARTNER direct 1998-01-01
TIFFANY CAPITAL ADVISORS INC PRESIDENT direct 1989-05-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER direct 1998-01-01
THE BAUPOST GROUP, L.L.C. MEMBER direct 1998-01-01
BOBERSKI & CO PRESIDENT direct 1966-01-01
H&F ADMINISTRATION III LLC SHAREHOLDER indirect 1994-12-01
IWAMOTO, KONG & CO., INC. SHAREHOLDER direct 1998-01-01
HOLDEN TOLBERT & CO INC PRESIDENT direct 1967-05-01
H & F ADMINISTRATION IV LLC SHAREHOLDER indirect 1994-12-01
CWS CAPITAL PARTNERS LLC SHAREHOLDER / MANAGING MEMBER direct 1998-01-01
HOLDEN TOLBERT & CO INC SECRETARY, TREASURER direct 1967-05-01
BUSINESS SERVICES, INC. OWNER direct 1989-05-01
LEGACY PARTNERS INVESTMENT MANAGEMENT SERVICES,LLC MEMBER indirect 1968-06-01
FINANCIAL ADVISORY SERVICE INC DANIELLE G. MEIER AND JOHN A. MEIER, TRUSTEES direct 1998-01-01
PINNACLE ASSET MANAGEMENT, L.P. MEMBER indirect 1994-12-01
OTTAWA AVENUE PRIVATE CAPITAL, LLC SHAREHOLDER indirect 1994-12-01
HELLMAN & FRIEDMAN CAPITAL MANAGEMENT SHAREHOLDER indirect 1989-06-01
SANDPOINTE, LLC MEMBER indirect 1994-12-01
CAMBRIDGE EQUITY ADVISORS INC CHIEF EXECUTIVE OFFICER direct 1989-06-01
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01
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VALU TRAC INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1989-10-01
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BJURMAN, BARRY & ASSOCIATES SHAREHOLDER A CLASS direct 1998-03-01
JOHNSTON, LEMON & CO. INC. CHAIRMAN indirect 1989-12-01
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SAVINGS GROWERS, INC. PRESIDENT direct 1990-08-01
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SOUND CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1995-06-01
FULLER & THALER ASSET MANAGEMENT INC SHAREHOLDER direct 1998-05-01
SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP. CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1978-08-01
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP. VICE CHAIRMAN, DIRECTOR direct 1978-11-01
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PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION SHAREHOLDER direct 1995-06-01
VALUE PARTNERS LTD SHAREHOLDER direct 1998-06-01
VALU-TRAC INVESTMENT RESEARCH LIMITED OWNER direct 1998-06-01
CORRELL CO. INVESTMENT SERVICES CORP. SECRETARY direct 1995-07-01
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BERKELEY CAPITAL ADVISERS, LLC TRUSTEE indirect 1991-01-01
GREIG ASSOCIATES INC VICE PRESIDENT direct 1998-07-01
PCJ INVESTMENT COUNSEL LTD. PARTNERSHIP direct 1995-07-01
RWT INVESTMENT ADVISERS, INC. 100% SHAREHOLDER direct 1998-07-01
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KELLNER, DILEO & CO., L.P. LIMITED PARTNER direct 1998-07-01
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RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD TREAURER direct 1992-02-01 2001-01-30
MACK INVESTMENT SECURITIES, INC. TRUSTEE IS PRESIDENT direct 1986-01-01 2001-01-30
FORUM SECURITIES, INC. SHAREHOLDER indirect 1990-07-01 2001-01-30
FORUM SECURITIES, INC. VICE PRESIDENT/CFO direct 1991-03-01 2001-01-30
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1998-08-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1992-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO PRESIDENT/DIRECTOR direct 1992-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1984-04-01 2001-01-31
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP MARKETING direct 1996-10-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1992-12-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1987-02-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1994-01-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
MOODY ALDRICH & SULLIVAN LLC NON MEMBER indirect 1988-06-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1997-11-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR CHAIRMAN OF BOARD direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO CH.BD./DIR/CEO direct 1998-01-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SENIOR VICE PRESIDENT direct 1990-01-01 2001-01-31
JULIUS BAER SECURITIES INC. CHAIRMAN direct 1998-04-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO SHAREHOLDER indirect 1980-05-01 2001-01-31
AMERICAN FIDELITY ASSURANCE CO DIRECTOR direct 1998-07-01 2001-01-31
CENTURION CAPITAL MANAGEMENT CORP BENEFICIAL OWNER OF CCGI, COMMON indirect 1997-12-01 2001-02-01
ESSEX LLC SECRETARY direct 1933-01-01 2001-02-23
HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY SENIOR VICE PRESIDENT & DIRECTOR- INVESTMENTS & DIRECTOR direct 1996-12-01 2001-02-28
COMMONWEALTH ADVISORS INC VICE PRESIDENT direct 1997-02-01 2001-02-28
LINDNER ASSET MANAGEMENT INC SHAREHOLDER direct 1997-03-01 2001-02-28
MBIA CAPITAL MANAGEMENT CORP. SENIOR MANAGING DIRECTOR direct 1998-02-01 2001-02-28
COMMONWEALTH ADVISORS INC SECRETARY direct 1991-04-01 2001-02-28
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2001-03-01
MONTICELLO ASSOCIATES INC PRESIDENT direct 1992-07-01 2001-03-01
MONTICELLO ASSOCIATES INC TREASURER direct 1992-07-01 2001-03-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2001-03-01
THE ROBINSON-HUMPHREY COMPANY, LLC SENIOR MANAGING DIRECTOR AND DIRECTOR direct 1998-05-01 2001-03-13
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1998-10-01 2001-03-15
PRINCOR FINANCIAL SERVICES CORPORATION SENIOR VICE PRESIDENT direct 1998-01-01 2001-03-15
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER direct 1992-10-01 2001-03-16
BERGER & ASSOCIATES LLC MANAGER & 50% OWNER direct 1997-04-01 2001-03-16
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1991-06-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1996-07-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. CHAIRMAN direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. SECRETARY direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1986-04-01 2001-03-20
ARMA FINANCIAL SERVICES, INC. DIRECTOR direct 1994-10-01 2001-03-20
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COMMERCE CAPITAL MARKETS, INC. EXECUTIVE VICE PRESIDENT direct 1977-03-01 2001-03-26
COMMERCE CAPITAL MARKETS, INC. MANAGING DIRECTOR direct 1977-09-01 2001-03-26
AMERVEST CO INC MANAGING DIRECTOR direct 1993-01-01 2001-03-27
VESTRUST SECURITIES L.P. SHAREHOLDER direct 1997-01-01 2001-03-29
PMG CAPITAL CORP. PRESIDENT direct 1986-12-01 2001-03-29
FIRST WESTERN ADVISORS VICE PRESIDENT/SECRETARY direct 1997-10-01 2001-03-29
FIRST WESTERN ADVISORS DIRECTOR direct 1997-10-01 2001-03-29
PMG CAPITAL CORP. VICE PRESIDENT ADMIN. direct 1995-04-01 2001-03-29
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1995-10-01 2001-03-29
PROEQUITIES INC DIRECTOR direct 1997-01-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDER, DIRECTOR direct 1978-07-01 2001-03-30
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR, EXECUTIVE VICE PRESIDENT - FINANCE direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY VICE PRESIDENT AND SECRETARY direct 1997-11-01 2001-04-02
PROVIDENT NATIONAL ASSURANCE COMPANY DIRECTOR direct 1995-10-01 2001-04-02
RICHARD O. JONES PRESIDENT/CEO indirect 1993-07-01 2001-04-06
RICHARD O. JONES SHAREHOLDER direct 1993-12-01 2001-04-06
CENTURION TRUST COMPANY SHAREHOLDER indirect 1997-12-01 2001-04-12
TOWER SQUARE SECURITIES, INC. VICE PRESIDENT direct 1998-09-01 2001-04-19
ORION FINANCIAL SERVICES, LLC MEMB ER OF LLC direct 1997-08-01 2001-04-20
THE ADVISORS GROUP, INC. CHAIRMAN OF BOARD OF DIRECTORS direct 1988-08-01 2001-04-26
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1991-08-01 2001-04-27
TIMING STRATEGIES CORP PRESIDENT direct 1982-05-01 2001-04-30
CANTERBURY CAPITAL SERVICES, INC. SECRETARY direct 1995-11-01 2001-04-30
MILLAR ROBERT PETER WHARTON COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD COMPLIANCE OFFICER direct 1995-12-01 2001-04-30
CMS INVESTMENT RESOURCES, INC. VICE PRESIDENT, GENERAL COUNSEL direct 1986-06-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD NON-EXECUTIVE DIRECTOR direct 1994-10-01 2001-04-30
VALU TRAC INVESTMENT MANAGEMENT LTD CHIEF EXECUTIVE direct 1989-10-01 2001-04-30
SUNTRUST EQUITABLE SECURITIES CORPORATION CROP direct 1990-07-01 2001-05-03
TITAN INVESTMENT ADVISORS LLC PARTNER direct 1996-05-01 2001-05-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2001-05-16
SOVEREIGN HOLDINGS LLC ADMINISTRATIVE PARTNER direct 1997-01-01 2001-05-16
ROBOTTI & COMPANY, INCORPORATED DIRECTOR & STOCKHOLDER direct 1983-08-01 2001-05-24
ROGGE GLOBAL PARTNERS PLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT UK HOLDINGS LIMITED direct 1996-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED STOCKHOLDER direct 1987-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1997-09-01 2001-05-24
ROBOTTI & COMPANY, INCORPORATED SROP, ROP direct 1994-05-01 2001-05-24
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-05-01 2001-06-12
THE ROBINSON-HUMPHREY COMPANY, LLC EXECUTIVE VICE PRESIDENT AND DIRECTOR direct 1997-05-01 2001-06-20
SPELMAN & CO., INC. DIRECTOR direct 1998-04-01 2001-06-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-06-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1997-06-01 2001-06-26
COORDINATED ASSET PLANNING CO INC CHEIF OPERATIONS OFFICER direct 1989-05-01 2001-07-30
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1995-06-01 2001-07-30
KEENE & ASSOCIATES, INC. PRESIDENT direct 1994-09-01 2001-08-09
WILLIAMS C R INC MANAGING DIRECTOR direct 1994-06-01 2001-08-15
WILLIAMS C R INC PRESIDENT direct 1994-08-01 2001-08-15
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER EXECUTIVE VICE PRESIDENT, DIRECTOR OF UPG direct 1987-08-01 2001-08-21
ST. BERNARD FINANCIAL SERVICES, INC. SHAREHOLDER direct 1994-03-01 2001-08-28
MEMORIAL INVESTMENT ADVISORS INC VP AND CIO direct 1998-09-01 2001-09-25
SYMMETRIC INVESTMENTS, INC. 5% + SHAREHOLDER direct 1992-12-01 2001-09-26
ALLIANCE ADVISORY & SECURITIES, INC. PRESIDENT indirect 1987-07-01 2001-09-27
PMG CAPITAL CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1986-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1987-06-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR direct 1993-12-01 2001-10-01
PMG CAPITAL CORP. MANAGING DIRECTOR AND TREASURER direct 1995-10-01 2001-10-01
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1998-08-01 2001-10-22
SMITH SHELLNUT WILSON LLC PRINCIPAL direct 1995-06-01 2001-10-22
SALOMON SMITH BARNEY INC. CHAIRMAN & CEO - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. MANAGING DIRECTOR - SALOMON SMITH BARNEY, CHIEF INVESTMENT OFFICER - SMITH BARNEY ASSET MANAGEMENT direct 1997-08-01 2001-10-24
SALOMON SMITH BARNEY INC. GENERAL COUNSEL - SMITH BARNEY ASSET MANAGEMENT, MANAGING DIRECTOR - SALOMON SMITH BARNEY INC. direct 1995-07-01 2001-10-24
CSFBDIRECT, INC. DIRECTOR/CCO/CROP/SROP direct 1996-08-01 2001-10-26
STEPHENS INC. SHAREHOLDER PREFERRED B indirect 1990-12-01 2001-10-31
STEPHENS INC. SHAREHOLDER COMMON A indirect 1990-12-01 2001-10-31
CBNY INVESTMENT SERVICES CORP. SHAREHOLDER indirect 1988-03-01 2001-11-01
FINARC LLC SPOUSE direct 1996-10-01 2001-11-29
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2001-11-30
CJ CAPITAL MANAGEMENT LLC PRESIDENT direct 1998-08-01 2001-12-07
ARNHOLD AND S. BLEICHROEDER, INC. CO-CHAIRMAN OF THE BOARD direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT, SECRETARY & DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. CO-PRESIDENT AND DIRECTOR direct 1994-01-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT , SROP/CROP direct 1994-04-01 2001-12-10
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ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT & DIRECTOR direct 1978-06-01 2001-12-10
ARNHOLD AND S. BLEICHROEDER, INC. SENIOR VICE PRESIDENT, TREASURER & DIRECTOR direct 1990-11-01 2001-12-10
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, VICE-PRESIDENT, SECRETARY/TREASURER direct 1988-03-01 2001-12-12
TRENDLINE RESEARCH & MANAGEMENT CORP DIRECTOR, PRESIDENT direct 1988-03-01 2001-12-12
TREVOR STEWART BURTON & JACOBSEN INC STOCKHOLDER direct 1995-04-01 2001-12-18
COUNTRY CAPITAL MANAGEMENT COMPANY VP INFO SYSTEMS direct 1996-10-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY CORPORATE CONTROLLER direct 1997-03-01 2001-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP COMMUNICATIONS & HUMAN RESOURCES direct 1989-10-01 2001-12-20
THURLOW CAPITAL MANAGEMENT, INC. PRESIDENT direct 1997-04-01 2002-01-03
THURLOW CAPITAL MANAGEMENT, INC. VICE-PRESIDENT direct 1997-04-01 2002-01-03
CENTURION HINDS INVESTMENT MANAGEMENT CORP SHAREHOLDER OF CENTURION CAPITAL GROUP INC. indirect 1997-12-01 2002-01-17
NORTHERN TRUST SECURITIES, INC. DIRECTOR direct 1997-01-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP CHAIRMAN, DIRECTOR direct 1994-06-01 2002-01-23
CATHOLIC FINANCIAL SERVICES CORP DIRECTOR direct 1994-06-01 2002-01-23
CSFBDIRECT, INC. DIRECTOR OF COMPLIANCE/CCO/CROP/SROP direct 1996-08-01 2002-01-25
PRINCOR FINANCIAL SERVICES CORPORATION DIRECTOR direct 1998-01-01 2002-01-25
SUCCESSFUL RESOURCES MANAGEMENT LTD VICE PRESIDENT direct 1996-06-01 2002-02-05
COORDINATED ASSET PLANNING CO INC PRESIDENT direct 1984-01-01 2002-02-13
FERGUSON INVESTMENT CONSULTANTS INC PRESIDENT direct 1988-06-01 2002-02-13
COORDINATED ASSET PLANNING CO INC CHIEF OPERATIONS OFFICER direct 1989-05-01 2002-02-13
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-03-11
AMERICAN INVESTMENT SERVICES INC TREASURER & SECRETARY direct 1988-12-01 2002-03-15
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1983-03-01 2002-03-19
HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER direct 1985-03-01 2002-03-19
PARNASSUS INVESTMENTS DIRECTOR direct 1984-06-01 2002-03-22
AMR INVESTMENT SERVICES, INC SECRETARY direct 1988-01-01 2002-03-25
MCCORMICK CAPITAL MANAGEMENT V.P. OPERATIONS direct 1996-04-01 2002-03-26
MCCORMICK CAPITAL MANAGEMENT V.P. FIXED INCOME direct 1993-03-01 2002-03-26
CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD SHAREHOLDER direct 1995-01-01 2002-03-26
CITISTREET ADVISORS LLC VICE PRESIDENT, TREASURER, FINOP direct 1991-05-01 2002-03-27
LORD ANDREW CHARLES SOLE PROPRIETOR direct 1984-01-01 2002-03-27
GLEN RAUCH SECURITIES, INC. SECRETARY/DIRECTOR direct 1986-02-01 2002-03-27
NATIONWIDE ADVISORY SERVICES, INC. DIRECTOR direct 1998-04-01 2002-03-27
GUARDIAN CAPITAL ADVISORS INC V.P., COMPLIANCE & SECRETARY direct 1998-11-01 2002-03-28
INSTITUTIONAL SECURITIES CORPORATION SECRETARY direct 1996-05-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1985-11-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1992-08-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1988-02-01 2002-03-28
FORUM SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 1989-01-01 2002-03-28
FORUM SECURITIES, INC. DIRECTOR direct 1989-02-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1994-11-01 2002-03-28
FORUM SECURITIES, INC. SECRETARY direct 1989-06-01 2002-03-28
GUARDIAN CAPITAL INC MANAGING DIRECTOR direct 1995-04-01 2002-03-28
VALUE PARTNERS LTD NON-EXECUTIVE DIRECTOR direct 1998-06-01 2002-03-28
FORUM SECURITIES, INC. PRESIDENT/TREASURER/DIRECTOR/SROP/CROP direct 1991-02-01 2002-03-28
FORUM SECURITIES, INC. SENIOR VICE PRESIDENT/CFO direct 1991-03-01 2002-03-28
EPG INC SENIOR VICE PRESIDENT direct 1998-01-01 2002-04-01
JMG CAPITAL MANAGEMENT, LLC N/A indirect 1998-04-01 2002-04-01
STIFEL, NICOLAUS & COMPANY, INCORPORATED SHAREHOLDER direct 1996-06-01 2002-04-02
WARNER GROUP, INC. VICE PRESIDENT, DIRECTOR, SHAREHOLDER direct 1996-05-01 2002-04-03
TACTICAL ALLOCATION SERVICES LLC TRUST direct 1996-04-01 2002-04-04
BRENTON INVESTMENTS, INC. SHAREHOLDER indirect 1995-01-01 2002-04-17
MUHLENKAMP & CO INC SHAREHOLDER direct 1983-02-01 2002-04-22
DIVERSIFIED INVESTMENT ADVISORS INC DIRECTOR & PRESIDENT direct 1992-10-01 2002-04-30
LINDNER CAPITAL MANAGEMENT, LLC 52% SHAREHOLDER indirect 1997-03-01 2002-04-30
DIVERSIFIED INVESTMENT ADVISORS INC SECRETARY direct 1994-01-01 2002-04-30
CHAPEL HILL CAPITAL MANAGEMENT INC PRESIDENT direct 1997-12-01 2002-05-03
ARISTA INVESTMENT ADVISORS, LTD. VICE-PRESIDENT direct 1996-04-01 2002-05-06
PINNACLE FUND MANAGEMENT LLC NONE direct 1997-03-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. PRESIDENT direct 1988-11-01 2002-05-06
ARISTA INVESTMENT ADVISORS, LTD. SECRETARY direct 1988-11-01 2002-05-06
SUCCESSFUL MONEY STRATEGIES INC CHIEF INVESTMENT OFFICER direct 1993-03-01 2002-05-07
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-09-01 2002-05-14
WESTBOURNE INVESTMENTS, INC. BENEFICIAL OWNER direct 1997-12-01 2002-05-14
PLANNERS FINANCIAL SERVICES, INC. BOARD MEMBER direct 1984-03-01 2002-05-24
PACIFIC CAPITAL PLANNING COMPANY OWNER direct 1997-09-01 2002-05-24
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY direct 1998-03-01 2002-05-31
R.V. KUHNS & ASSOCIATES, INC. TREASURER indirect 1986-01-01 2002-06-25
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 1994-10-01 2002-07-22
TRUSTED SECURITIES ADVISORS CORP. CHAIRMAN AND DIRECTOR direct 1998-08-01 2002-07-24
AMERICAN GENERAL FINANCIAL ADVISORS, INC. ASSISTANT TREASURER direct 1998-08-01 2002-08-29
EQUITY ANALYSTS INC. SHAREHOLDER direct 1998-09-01 2002-09-20
THE MILLER FINANCIAL GROUP, INC. SHAREHOLDER indirect 1992-04-01 2002-09-23
1717 CAPITAL MANAGEMENT COMPANY DIRECTOR direct 1998-11-01 2002-09-26
KILLIAN ASSET MANAGEMENT CORP PRESIDENT direct 1987-04-01 2002-10-11
ABSOLUTE RETURN ADVISORS, LTD. CROP/SROP/VP direct 1996-12-01 2002-10-14
MCCORMACK ADVISORS INTERNATIONAL LLC S indirect 1973-12-01 2002-10-16
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1983-02-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-03-01 2002-10-21
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1980-11-01 2002-10-21
ARTHURS, LESTRANGE & COMPANY INCORPORATED OUTSIDE SHAREHOLDER direct 1986-03-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDER direct 1997-12-01 2002-10-31
SANDALWOOD SECURITIES, INC. SHAREHOLDERS direct 1997-12-01 2002-10-31
BERGER & ASSOCIATES LLC MANAGER & 100% OWNER direct 1997-04-01 2002-12-04
MUHLENKAMP & CO INC SHAREHOLDER indirect 1983-02-01 2002-12-18
THE DANFORTH ASSOCIATES, INC VICE PRESIDENT & DIRECTOR direct 1994-09-01 2002-12-20
COUNTRY CAPITAL MANAGEMENT COMPANY VP FINANCE & TREASURER direct 1998-11-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY GENERAL COUNSEL & SECRETARY direct 1996-08-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY SENIOR VP & CHIEF FINANCIAL OFFICER direct 1996-10-01 2003-01-02
COUNTRY CAPITAL MANAGEMENT COMPANY CHAIRMAN OF THE BOARD & DIRECTOR direct 1994-10-01 2003-01-02
L ROY PAPP & ASSOCIATES GENERAL PARTNER direct 1992-01-01 2003-01-10
MEMORIAL INVESTMENT ADVISORS INC PRESIDENT AND CEO direct 1998-10-01 2003-01-14
MEMORIAL INVESTMENT ADVISORS INC VP AND CFO direct 1998-10-01 2003-01-14
LAUREL MANAGEMENT CO LLC MEMBER direct 1995-07-01 2003-01-15
CLARK FINANCIAL SERVICES GROUP INC PRESIDENT direct 1987-01-01 2003-01-24
ROLF ADLER GROUP INC PRESIDENT direct 1987-12-01 2003-01-25
FINANCIAL ADVISORY SERVICE INC SHAREHOLDER direct 1984-01-01 2003-02-05
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) DIRECTOR OF COMPLIANCE direct 1997-03-01 2003-02-07
THE DANFORTH ASSOCIATES, INC DIRECTOR direct 1994-09-01 2003-02-14
GURUN, INC. PRESIDENT direct 1986-03-01 2003-02-27
WILLINGHAM ASSET MANAGEMENT INC PRESIDENT direct 1995-11-01 2003-03-03
TIFFANY CAPITAL ADVISORS INC BOARD MEMBER direct 1992-07-01 2003-03-03
JULIUS BAER SECURITIES INC. DIRECTOR direct 1996-05-01 2003-03-14
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 1994-12-01 2003-03-14
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THE DE BURLO GROUP,INC. PRESIDENT direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. SECRETARY direct 1987-10-01 2003-03-18
THE DE BURLO GROUP,INC. DIRECTOR direct 1987-10-01 2003-03-18
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KEENE & ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 1994-09-01 2003-03-26
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HORSLEY BRIDGE PARTNERS, INC. SHAREHOLDER CLASS A & B SHARES direct 1985-03-01 2003-03-27
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER direct 1995-01-01 2003-03-27
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METROPOLITAN LIFE INSURANCE COMPANY PRESIDENT, INDIVIDUAL BUSINESS direct 1998-03-01 2007-03-28
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1975-07-01 2007-03-28
WALL STREET ASSOCIATES SHAREHOLDER direct 1991-05-01 2007-03-30
GARNER ASSET MANAGEMENT COMPANY, LP PRESIDENT direct 1994-07-01 2007-04-02
THE VARIABLE ANNUITY LIFE INSURANCE CO SHAREHOLDER indirect 1969-01-01 2007-04-02
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1983-08-01 2007-04-25
A. G. EDWARDS & SONS, INC. DIRECTOR OF HOLDING COMPANY direct 1993-06-01 2007-04-25
WIDMANN, SIFF & CO., INC. SHAREHOLDER direct 1970-09-01 2007-05-10
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND HEAD TRADER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP CHIEF INVESTMENT OFFICER direct 1996-07-01 2007-06-01
SYSTEMATIC FINANCIAL MANAGEMENT LP MANAGING DIRECTOR AND PORTFOLIO MANAGER direct 1997-03-01 2007-06-01
GARRISON ASSET MANAGEMENT, LLC MINORITY OWNER direct 1994-07-01 2007-06-01
DW HEALTHCARE MANAGEMENT II, LLC. MEMBER indirect 1998-04-01 2007-06-07
AMERICAN CENTURY INVESTMENT MANAGEMENT INC SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-06-22
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
AMERICAN CENTURY ADVISORY SERVICES, INC. SHAREHOLDER OF CLASS B SHARES indirect 1995-01-01 2007-07-03
MAXWELL NOLL INC SHAREHOLDER direct 1988-07-01 2007-08-22
PZENA INVESTMENT MANAGEMENT LLC NON-VOTING MEMBER direct 1995-12-01 2007-11-06
THCP MANAGEMENT II, L.P. MEMBER indirect 1998-10-01 2008-01-04
D.J. ST. GERMAIN CO., INC. 5% OWNER direct 1982-01-01 2008-01-17
AMERVEST CO INC MANAGING DIRECTOR direct 1983-01-01 2008-02-08
POPULAR SECURITIES, INC. MANAGING DIRECTOR direct 1995-05-01 2008-02-27
ASSET STRATEGY CONSULTANTS LLC PRINCIPAL direct 1993-07-01 2008-03-04
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1992-01-01 2008-03-27
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1996-09-01 2008-04-03
METROPOLITAN LIFE INSURANCE COMPANY DIRECTOR direct 1994-10-01 2008-04-03
DELESSERT FINANCIAL SERVICES INC PRESIDENT, TREASURER AND CLERK direct 1994-04-01 2008-04-17
DUNCAN-WILLIAMS, INC. 100% indirect 1993-06-01 2008-06-02
COMMONWEALTH ADVISORS INC PRESIDENT direct 1991-04-01 2008-06-02
COMMONWEALTH ADVISORS INC CONTROLLING SHAREHOLDER direct 1991-04-01 2008-06-02
ORLEANS CAPITAL MANAGEMENT CORP PRESIDENT & CHAIRMAN, DIRECT OWNER-COMMON & DIRECTOR direct 1991-07-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON, & DIRECTOR direct 1991-11-01 2008-06-18
ORLEANS CAPITAL MANAGEMENT CORP VICE PRESIDENT, DIRECT OWNER-COMMON & PREFERRED, DIRECTOR direct 1994-02-01 2008-06-18
CLARK FINANCIAL ADVISORS DIRECTOR direct 1983-11-01 2008-07-29
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER direct 1995-12-01 2008-11-10
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. LIMITED PARTNER indirect 1996-01-01 2009-02-09
DUPREE & COMPANY, INC. SHAREHOLDER, DIRECTOR direct 1991-01-01 2009-02-11
LAFAYETTE INVESTMENTS, INC. SECRETARY/ DIRECTOR direct 1988-05-01 2009-03-17
CALTON & ASSOCIATES, INC. SECRETARY indirect 1989-03-01 2009-03-24
BUSH POLEN & ASSOCIATES INC PRESIDENT direct 1985-06-01 2009-03-26
BRIAUD FINANCIAL PLANNING INC PRESIDENT direct 1992-01-01 2009-03-27
CANTERBURY CONSULTING INCORPORATED ASSISTANT VICE PRESIDENT direct 1995-11-01 2009-05-12
CANTERBURY CONSULTING INCORPORATED VP/ DIRECTOR OF MANAGER SEARCH direct 1996-10-01 2009-05-12
COMMERCE BROKERAGE SERVICES, INC. SECRETARY direct 1996-02-01 2009-06-09
MAHLER & EMERSON INC. DIRECTOR/EXECUTIVE VICE PRESIDENT direct 1996-10-01 2009-06-10
CONCOURSE CAPITAL CORPORATION DIRECTOR direct 1993-07-01 2009-06-10
MAHLER & EMERSON INC. DIRECTOR direct 1998-02-01 2009-06-10
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER direct 1998-09-01 2009-07-01
COMMONWEALTH REALTY ADVISORS INC SHAREHOLDER indirect 1998-09-01 2009-07-01
BANCORPSOUTH INVESTMENT SERVICES, INC. CORPORATE SECRETARY/REPRESENTATIVE direct 1998-08-01 2009-08-04
PZENA INVESTMENT MANAGEMENT LLC MINORITY OWNER AND MEMBER WITH CLASS B UNITS direct 1995-12-01 2009-09-08
CERTIFIED PLANNERS INC SHAREHOLDER direct 1994-04-01 2009-12-10
D.J. ST. GERMAIN CO., INC. FIVE PERCENT PLUS OWNER direct 1982-01-01 2010-01-05
R.V. KUHNS & ASSOCIATES, INC. TREASURER direct 1986-01-01 2010-03-05
WEALTH MANAGEMENT INTERNATIONAL, LTD. CORPORATE SECRETARY direct 1997-09-01 2010-03-11
MISSOURI VALLEY PARTNERS, INC. SHAREHOLDER OF CLASS A CONV. ADJ. RATE PFD. AND CLASS B NON-CONV. ADJ. RATE PFD. indirect 1985-10-01 2010-03-25
KARK M Z & ASSOCIATES INC 99% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 1% SHAREHOLDER indirect 1993-09-01 2010-03-25
KARK M Z & ASSOCIATES INC 92.3% SHAREHOLDER direct 1989-07-01 2010-03-25
INVESTMENT SCIENCES INC SHAREHOLDER direct 1969-12-01 2010-03-26
FFR ADVISORY LLC MEMBER direct 1997-01-01 2010-03-31
HORSLEY BRIDGE PARTNERS LLC MEMBER direct 1997-03-01 2010-03-31
WHITNELL & CO SHAREHOLDER direct 1990-05-01 2010-03-31
STANFORD ADVISORY GROUP, LLC MANAGING MEMBER direct 1992-10-01 2010-05-11
INVESTMENT PROFESSIONALS, INC. DIRECT OWNER direct 1995-05-01 2010-06-18
BAILARD BIEHL & KAISER INC SHAREHOLDER indirect 1972-03-01 2010-06-29
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER FOR REGISTERED INVESTMENT ADVISORY FIRM ONLY direct 1990-01-01 2010-07-27
ALEX. BROWN REALTY, INC. SHAREHOLDER indirect 1992-03-01 2010-08-27
UNITED AMERICAN SECURITIES, INC. SHAREHOLDER direct 1988-01-01 2010-09-30
AMERICAN INSTITUTIONAL REALTY ADVISORS OWNER direct 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS OWNER indirect 1995-05-01 2010-10-22
AMERICAN REALTY ADVISORS SOLE TRUSTEE indirect 1995-05-01 2010-10-22
JHS CAPITAL ADVISORS, INC. OWNER indirect 1997-05-01 2011-02-01
SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP GENERAL PARTNER indirect 1997-08-01 2011-03-23
PARNASSUS INVESTMENTS OWNER direct 1998-04-01 2011-03-31
FINANCIAL SYNERGIES ASSET MANAGEMENT INC PRESIDENT direct 1997-04-01 2011-04-06
WS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 1997-01-01 2011-04-13
CLARK FINANCIAL SERVICES GROUP INC CHAIRMAN OF THE BOARD direct 1987-01-01 2011-05-02
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER / DIRECTOR direct 1988-05-01 2011-05-06
VAN BERKOM AND ASSOCIATES INC. HOLDING COMPANY direct 1991-07-01 2011-06-29
CS CAPITAL MANAGEMENT INC PRESIDENT direct 1993-12-01 2011-07-18
CHARTER CAPITAL MANAGEMENT, INC. CEO, DIRECTOR direct 1990-01-01 2011-07-29
VAN BERKOM AND ASSOCIATES INC. SECRETARY direct 1991-07-01 2011-08-02
UNITED AMERICAN SECURITIES, INC. SECRETARY direct 1987-10-01 2011-09-30
LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC. PRESIDENT direct 1990-05-01 2012-01-06
CALTIUS CAPITAL MANAGEMENT, LP LIMITED PARTNER, CALTIUS CAPITAL MANAGEMENT, LP direct 1997-06-01 2012-02-14
CALLAHAN CAPITAL MANAGEMENT INC PRESIDENT direct 1995-08-01 2012-03-12
KMH WEALTH MANAGEMENT, LLC OWNER direct 1998-02-01 2012-03-21
HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC SHAREHOLDER COMMON A indirect 1997-01-01 2012-03-28
LAFAYETTE INVESTMENTS, INC. SHAREHOLDER direct 1988-05-01 2012-03-28
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT, SECRETARY, TRUSTEE OF THE 2002 BILECKI FAMILY TRUST DATED 8-27-02 direct 1981-03-01 2012-06-18
MOLUMPHY CAPITAL MANAGEMENT PRESIDENT direct 1988-09-01 2012-06-22
GURUN, INC. PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-03-01 2012-08-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE direct 1987-09-01 2012-09-21
PALADIN REALTY PARTNERS, LLC GENERAL PARTNER indirect 1998-02-01 2013-04-01
HALL CAPITAL PARTNERS LLC MEMBER CLASS B direct 1995-07-01 2013-04-26
CANYON CAPITAL REALTY ADVISORS LLC MEMBER direct 1998-08-01 2013-05-23
FTA PARTNERS, LLC MANAGER (COMMON UNITS) indirect 1997-09-01 2013-09-10
FTA PARTNERS, LLC TRUSTEE, PATRICIA'S TRUST UNDER THE KOCOUREK FAMILY TRUST DATED DECEMBER 31, 1994 (COMMON UNITS) indirect 1994-12-01 2013-09-10
WALL STREET ASSOCIATES SHAREHOLDER indirect 1991-05-01 2013-09-24
BOULDER INVESTMENT ADVISERS LLC TRUSTEE indirect 1994-11-01 2013-10-01
ROXBURY CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 1998-07-01 2013-12-18
LATEEF MANAGEMENT ASSOCIATES LIMITED PARTNER direct 1974-01-01 2014-03-12
BOULDER INVESTMENT ADVISERS LLC MEMBER indirect 1995-04-01 2014-03-27
HMS ADVISER LP SHAREHOLDER indirect 1989-12-01 2014-03-31
GENEVA CAPITAL MANAGEMENT LTD WILLIAM A. PRIEBE AND LINDA J. PRIEBE, TRUSTEES direct 1998-04-01 2014-04-16
PACIFIC GLOBAL INVESTMENT MANAGEMENT CO COMMON STOCK SHAREHOLDER direct 1996-10-01 2014-05-13
INGENIOUS ASSET MANAGEMENT LIMITED SHAREHOLDER indirect 1998-06-01 2014-06-27
HART REALTY ADVISERS, INC. SENIOR MANAGING PARTNER direct 1987-12-01 2014-09-05
ROXBURY CAPITAL MANAGEMENT LLC COMMON SHAREHOLDER direct 1998-07-01 2014-12-01
WHITEGATE INVESTMENT COUNSELORS INC MAJORITY SHAREHOLDER direct 1998-07-01 2015-02-20
TRIUMPH ALTERNATIVES LLC CO-TRUSTEE OF LORRAYNE ROSE ZEMAN TRUST indirect 1993-01-01 2015-03-26
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED LIMITED PARTNER indirect 1984-05-01 2015-03-31
HART REALTY ADVISERS, INC. CHAIRMAN direct 1987-12-01 2015-03-31
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED SHAREHOLDER direct 1975-06-01 2015-03-31
UNITED AMERICAN SECURITIES, INC. DIRECTOR direct 1987-10-01 2015-04-28
CALTON & ASSOCIATES, INC. SHAREHOLDER direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST direct 1987-09-01 2016-02-29
CALTON & ASSOCIATES, INC. SHAREHOLDER / JTWORS WITH GEORGE G HARRINGTON, JR direct 1987-11-01 2016-02-29
RAHN DAVID R & ASSOCIATES INC SHAREHOLDER direct 1993-02-01 2016-03-08
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER indirect 1997-03-01 2016-03-30
FRIEDMAN FLEISCHER & LOWE, LLC MEMBER direct 1997-04-01 2016-03-30
FINANCIAL DESIGNS CORPORATION VICE PRESIDENT direct 1981-03-01 2016-05-24
PCCP, LLC MEMBER indirect 1998-05-01 2016-06-16
SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. SHAREHOLDER indirect 1982-11-01 2016-12-01
SUMMIT GLOBAL MANAGEMENT INC. LIVING TRUST direct 1994-11-01 2017-01-18
J.J.B. HILLIARD, W.L. LYONS, LLC TRUSTEE indirect 1988-11-01 2017-02-21
PPS & V ASSET MANAGEMENT CONSULTANTS INC OFFICER direct 1992-01-01 2017-02-27
AUTUMN GLORY PARTNERS, LLC TRUSTEE indirect 1998-01-01 2017-05-17
WALLACE R. WEITZ & COMPANY DIRECTOR direct 1983-03-01 2017-07-31
FIRST FINANCIAL EQUITY CORPORATION DIRECTOR OF TELECOMMUNICATIONS direct 1996-02-01 2017-08-01
GARRETT, ANDREW, EDWARD CHIEF LEGAL OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2016-09-01
FLEISCHER, DAVID, NATHAN TRUSTEE FLEISCHER 2012 FAMILY TRUST 01/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
CHICKASAW CAPITAL MANAGEMENT, LLC CLASS C MEMBER; TRUSTEE OF FLEISCHER 2012 FAMILY TRUST direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER CLASS C SHARES direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC MEMBER - CLASS C SHARES direct 2006-12-01
CHICKASAW CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2013-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CCM OCB PARTNERS, LP United States 805-8664273557 Venture Capital Fund 1,100,000 50,000

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