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