CLS INVESTMENTS, LLC

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CLS Investments is based out of Omaha. CLS Investments is a large advisory firm with 24764 clients and discretionary assets under management (AUM) of $7,073,281,762 (Form ADV from 2018-07-01). Their last reported 13F filing for Q3 2019 included $2,888,420,000 in managed 13F securities and a top 10 holdings concentration of 26.95%. CLS Investments's largest holding is iShares Exponential Technologies ETF with shares held of 3,454,505. CLS Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 59 13F filings, and 2 13G filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.888 Billion
  • Prior Market Value $3.195 Billion
  • New Purchases82 stocks
  • Additional Purchases113 stocks
  • Sold out of265 stocks
  • Reduced holdings in314 stocks
  • Top 10 Holdings % 26.95 %
  • Turnover % [1]:45.78%
  • Turnover Alt % [2]: 14.32 %
  • Time Held Top20:6.70 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:11.86 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: 6.87%
Performance Last 4 Quarters: 9.07%
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/A (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)
  • 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)
  • 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/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CLS INVESTMENTS, LLC
17605 WRIGHT STREET
OMAHA NE    68130
Country: United States

Business Phone: 402-493-3313
Fax: 402-493-2811
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: NE
Number of employees: 29
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 3,436,340,000
Total Number of Clients: 24764
Amount of client funds and securities by related persons: 3,436,340,000
Total Number of clients from related persons: 14700
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CLS INVESTMENTS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
NORTHSTAR EYBA, LLC SOLE MEMBER/100% SHAREHOLDER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC SOLE MEMBER direct 2018-05-01
APPLEGARTH, MARK, DANIEL TREASURER/CHIEF FINANCIAL OFFICER/ELECTED MANAGER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
VANNEMAN, JOHN, RUSSEL CHIEF INVESTMENT OFFICER/PRESIDENT/ELECTED MANAGER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
BEACH, RYAN, BRUCE SECRETARY/ELECTED MANAGER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER/ELECTED MANAGER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
COOK, DEAN, WILLIAM CHIEF EXECUTIVE OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC VICE PRESIDENT SALES & MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC VP- SALES AND MARKETING direct 2006-06-01
FTJ FUNDCHOICE, LLC PRESIDENT direct 2012-01-01
RAWLINS, GREGORY, JAMES CHIEF OPERATING OFFICER/ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FTJ FUNDCHOICE, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2018-07-01
CLS INVESTMENTS, LLC CHIEF OPERATING OFFICER/ELECTED MANAGER direct 2019-01-01
KENDALL, CORY, JAMES ELECTED MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2019-01-01
FTJ FUNDCHOICE, LLC ELECTED MANAGER direct 2019-01-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC SOLE MEMBER indirect 2015-04-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
BAUM, JONATHAN, RUSSELL ELECTED MANAGER NORTHSTAR TOPCO, LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01
NORTHSTAR FINANCIAL SERVICES GROUP, LLC MEMBERS OWNING 100% NORTHSTAR EYBA, LLC 02/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01

CLS INVESTMENTS, LLC

ownership team - last updated 2018-06-18
Name Title Start Date Direct/Indirect % Ownership
SERIES 3 OF NORTHSTAR FINANCIAL SERVICES GROUP, LLC SOLE MEMBER/100% SHAREHOLDER 02/01/2003 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER/100% SHAREHOLDER direct 2003-02-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC 100% SHAREHOLDER direct 2003-02-01
ARBOR POINT ADVISORS, LLC SHAREHOLDER direct 2012-07-01
ARBOR POINT ADVISORS, LLC MEMBER direct 2012-07-01
BEACH, RYAN, BRUCE CHIEF EXECUTIVE OFFICER/ELECTED MANAGER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC PRESIDENT direct 2012-09-01
CLS INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-09-01
CLARKE, TODD, PATRICK ELECTED MANAGER 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
APPLEGARTH, MARK, DANIEL TREASURER/CHIEF FINANCIAL OFFICER/ELECTED MANAGER 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC TREASURER/CHIEF FINANCIAL OFFICER direct 2006-10-01
CLS INVESTMENT FIRM, LLC CONTROLLER direct 2006-10-01
CLS INVESTMENTS, LLC TREASURER/CONTROLLER direct 2006-10-01
VANNEMAN, JOHN, RUSSEL CHIEF INVESTMENT OFFICER/ELECTED MANAGER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
KOBREN INSIGHT MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-09-01
CLS INVESTMENTS, LLC CHIEF INVESTMENT OFFICER direct 2012-09-01
ADVISER INVESTMENTS ACQUISITION CO LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
FORKER, MICHAEL, WILFORD CHIEF COMPLIANCE OFFICER/ELECTED MANAGER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-05-01
KULLMAN, JUSTIN, EUGENE CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2017-09-01
BISCHOFF, BRUCE, DEAN ELECTED MANAGER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2018-03-01
CLARKE, TODD, PATRICK ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2005-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/SECRETARY/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC EXECUTIVE VICE PRESIDENT OF SALES direct 2005-02-01 2005-03-31
CLS INVESTMENT FIRM, LLC PRESIDENT direct 2005-02-01 2005-07-01
CLS INVESTMENTS, LLC PRESIDENT/MANAGER direct 2005-02-01 2012-04-27
CLS INVESTMENTS, LLC CEO/MANAGER direct 2005-02-01 2015-03-26
CLS INVESTMENTS, LLC TRUSTEE indirect 2011-09-01 2015-03-26
CLS INVESTMENTS, LLC CEO/ELECTED MANAGER direct 2005-02-01 2016-09-01
NORTHSTAR TOPCO, LLC SOLE MEMBER NORTHSTAR FINANCIAL SERVICES GROUP, LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC SOLE MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC SOLE MEMBER indirect 2015-04-01
CLARKE, ERIC, REESE ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER direct 2000-01-01 2001-09-21
CLARKE LANZEN SKALLA INVESTMENT FIRM INC SENIOR VICE PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR direct 2000-01-01 2002-07-30
CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC CHIEF OPERATIONS OFFICER direct 2005-02-01 2005-07-01
BURNS, MICHAEL, ROY ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
STADION MONEY MANAGEMENT, LLC ELECTED MANAGER direct 2011-06-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
CROCKETT, TODD, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
EVANSTON CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2010-12-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
MADDOX, CLARA, ELIZABETH ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC ELECTED MANAGER direct 2015-04-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
BARBACK, VERNON, RICHARD ELECTED MANAGER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
ALTB PARTNERS LP TRUSTEE indirect 2013-01-01
ALTB PARTNERS LP LIMITED PARTNER direct 2013-01-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2015-04-01
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT LIMITED direct 1999-08-01 2001-02-28
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR SSB CITI ASSET MANAGEMENT GROUP direct 1999-08-01 2001-03-01
SMITH BARNEY GLOBAL CAPITAL MANAGEMENT INC GLOBAL HEAD OF OPERATIONS AND TECHNOLOGY FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-04-11
SALOMON BROTHERS ASSET MANAGEMENT, LTD. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS FOR CITIGROUP ASSET MANAGEMENT direct 1999-08-01 2001-07-20
CITIGROUP ASSET MANAGEMENT LIMITED GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS direct 1999-10-01 2001-07-23
ALTB PARTNERS LP PARTNER AND CHIEF OPERATIONS OFFICER direct 2013-01-01 2015-09-03
TA ASSOCIATES XI GP, L.P. GENERAL PARTNER TA XI NS AIV, L.P. 04/01/2009 Indirect Other
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2009-04-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2009-04-01
TA ASSOCIATES, L.P. GENERAL PARTNER TA ASSOCIATES XI GP, L.P. 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CONTROLLER OF UNIT HOLDERS indirect 2015-09-01
CLS INVESTMENTS, LLC GENERAL PARTNER indirect 2011-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2007-08-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
STADION MONEY MANAGEMENT, LLC GENERAL PARTNER indirect 2011-06-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
EVANSTON CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-12-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER direct 1993-07-01
TA ASSOCIATES MANAGEMENT, L.P. GENERAL PARTNER indirect 2012-02-01
TA XI NS AIV, L.P. MEMBER NORTHSTAR TOPCO, LLC 04/01/2015 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CLS INVESTMENTS, LLC MEMBER indirect 2015-04-01
ARBOR POINT ADVISORS, LLC GENERAL PARTNER indirect 2011-06-01
ARBOR POINT ADVISORS, LLC MEMBER indirect 2015-04-01
BAUM, JONATHAN, RUSSELL ELECTED MANAGER NORTHSTAR TOPCO, LLC 02/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
DREYFUS SERVICE CORPORATION EXECUTIVE VICE PRESIDENT direct 2006-03-01
MBSC SECURITIES CORPORATION EXECUTIVE VICE PRESIDENT & DIRECTOR direct 2006-03-01
MBSC SECURITIES CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR direct 2008-03-01
MBSC SECURITIES CORPORATION CHAIRMAN & DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION DIRECTOR AND VICE CHAIR direct 2006-08-01
THE DREYFUS CORPORATION CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
THE DREYFUS CORPORATION CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2008-03-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2015-02-01
CLS INVESTMENTS, LLC ELECTED MANAGER indirect 2016-02-01
ARBOR POINT ADVISORS, LLC ELECTED MANAGER indirect 2016-02-01

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