COZAD ASSET MANAGEMENT INC

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Cozad Asset Management is based out of Champaign. Cozad Asset Management is a large advisory firm with 1021 clients and discretionary assets under management (AUM) of $1,091,893,305 (Form ADV from 2019-05-06). Their last reported 13F filing for Q4 2019 included $374,714,000 in managed 13F securities and a top 10 holdings concentration of 21.62%. Cozad Asset Management's largest holding is Apple Inc with shares held of 47,982. Whalewisdom has at least 7 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $374.714 Million
  • Prior Market Value $346.188 Million
  • New Purchases11 stocks
  • Additional Purchases69 stocks
  • Sold out of10 stocks
  • Reduced holdings in127 stocks
  • Top 10 Holdings % 21.62 %
  • Turnover % [1]:8.54%
  • Turnover Alt % [2]: 5.11 %
  • Time Held Top20:4.50 quarters
  • Time Held Top10:3.80 quarters
  • Time Held All:5.17 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

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

Performance for Q3 2019: 12.39%
Performance Last 4 Quarters: 18.56%
Performance Metrics
Stats are not available for the latest quarter
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13F Filings Available:
  • 2019-12-31 - 13F-HR (Subscription required)
  • 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)

View Last Form Adv Compilation Report on Record

COZAD ASSET MANAGEMENT INC
2501 GALEN DRIVE
CHAMPAIGN IL    61821-7005
Country: United States
Business Phone: 217-356-8363
Fax: 217-355-1359
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IL
Number of employees: 21
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent,accountant or accounting firm ,,MAY ACT AS SOLICITOR FOR OTHER RIA'S
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 1021
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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COZAD ASSET MANAGEMENT INC

ownership team - last updated 2019-05-06
Name Title Start Date Direct/Indirect % Ownership
SHAPLAND, GEORGE, T SHAREHOLDER 02/01/1988 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-02-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP SHAREHOLDER indirect 1988-02-01
PHYSICIAN ADVISORY RESOURCES,LLC SHAREHOLDER indirect 1988-04-01
SIKICH COZAD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1988-04-01
KIDDOO, RONALD, LANE CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR 01/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01
SIKICH COZAD ASSET MANAGEMENT LLC MANAGER direct 1998-04-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01 2004-03-02
COZAD, GREGORY, DALE PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 11/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1993-11-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP OFFICER AND SHAREHOLDER OF GENERAL PARTNER, COZAD ASSET MANAGEMENT, INC. direct 2004-09-01
MEACHAM, STUART, THOMAS VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR 10/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-09-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1982-10-01
PHYSICIAN ADVISORY RESOURCES,LLC MANAGER direct 2003-07-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, DIRECTOR direct 1982-10-01 2004-03-02
SMITH, LEE, FRANCIS ASS'T. SECRETARY, DIRECTOR OF TRADING 06/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01
SIKICH COZAD ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
PHYSICIAN ADVISORY RESOURCES,LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,ASS'T. SECRETARY direct 1984-06-01 2004-03-02
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,VICE PRESIDENT, ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01 2016-03-16
MCGRATH, MARY, FRANCES EXEC. VICE PRESIDENT, DIRECTOR 05/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC EXEC. VICE PRESIDENT, DIRECTOR direct 2000-05-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC DIRECTOR direct 2000-05-01 2004-03-02
KIDDOO, STEPHEN, CRAIG CHIEF COMPLIANCE OFFICER 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2013-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2016-01-01
STORSVED, ANNE, JOELLE DIRECTOR OF TAX DEPARTMENT 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC DIRECTOR OF TAX DEPARTMENT direct 2013-01-01
NORRIS, CYNTHIA, C SHAREHOLDER 08/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1994-08-01
NORRIS, JOHNSTON, ALLEN SHAREHOLDER 01/01/1992 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1992-01-01
DAUTEN, KENT, PAUL SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01
MARSH, SHERRYL, DAUTEN SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01

COZAD ASSET MANAGEMENT INC

ownership team - last updated 2019-01-31
Name Title Start Date Direct/Indirect % Ownership
KIDDOO, RONALD, LANE CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR 01/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01
SIKICH COZAD ASSET MANAGEMENT LLC MANAGER direct 1998-04-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01 2004-03-02
COZAD, GREGORY, DALE PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 11/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1993-11-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP OFFICER AND SHAREHOLDER OF GENERAL PARTNER, COZAD ASSET MANAGEMENT, INC. direct 2004-09-01
MEACHAM, STUART, THOMAS VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR 10/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-09-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1982-10-01
PHYSICIAN ADVISORY RESOURCES,LLC MANAGER direct 2003-07-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, DIRECTOR direct 1982-10-01 2004-03-02
SMITH, LEE, FRANCIS ASS'T. SECRETARY, DIRECTOR OF TRADING 06/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01
SIKICH COZAD ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
PHYSICIAN ADVISORY RESOURCES,LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,ASS'T. SECRETARY direct 1984-06-01 2004-03-02
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,VICE PRESIDENT, ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01 2016-03-16
SHAPLAND, GEORGE, T SHAREHOLDER 02/01/1988 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-02-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP SHAREHOLDER indirect 1988-02-01
PHYSICIAN ADVISORY RESOURCES,LLC SHAREHOLDER indirect 1988-04-01
SIKICH COZAD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1988-04-01
MCGRATH, MARY, FRANCES EXEC. VICE PRESIDENT, DIRECTOR 05/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC EXEC. VICE PRESIDENT, DIRECTOR direct 2000-05-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC DIRECTOR direct 2000-05-01 2004-03-02
KIDDOO, STEPHEN, CRAIG CHIEF COMPLIANCE OFFICER 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2013-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2016-01-01
STORSVED, ANNE, JOELLE DIRECTOR OF TAX DEPARTMENT 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC DIRECTOR OF TAX DEPARTMENT direct 2013-01-01
NORRIS, CYNTHIA, C SHAREHOLDER 08/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1994-08-01
NORRIS, JOHNSTON, ALLEN SHAREHOLDER 01/01/1992 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1992-01-01
DAUTEN, KENT, PAUL SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01
MARSH, SHERRYL, DAUTEN SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01

COZAD ASSET MANAGEMENT INC

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
KIDDOO, RONALD, LANE CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR 01/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01
SIKICH COZAD ASSET MANAGEMENT LLC MANAGER direct 1998-04-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01 2004-03-02
COZAD, GREGORY, DALE PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 11/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1993-11-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP OFFICER AND SHAREHOLDER OF GENERAL PARTNER, COZAD ASSET MANAGEMENT, INC. direct 2004-09-01
MEACHAM, STUART, THOMAS VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR 10/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-09-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1982-10-01
PHYSICIAN ADVISORY RESOURCES,LLC MANAGER direct 2003-07-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, DIRECTOR direct 1982-10-01 2004-03-02
SMITH, LEE, FRANCIS ASS'T. SECRETARY, DIRECTOR OF TRADING 06/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01
SIKICH COZAD ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
PHYSICIAN ADVISORY RESOURCES,LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,ASS'T. SECRETARY direct 1984-06-01 2004-03-02
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,VICE PRESIDENT, ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01 2016-03-16
SHAPLAND, GEORGE, T SHAREHOLDER 02/01/1988 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-02-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP SHAREHOLDER indirect 1988-02-01
PHYSICIAN ADVISORY RESOURCES,LLC SHAREHOLDER indirect 1988-04-01
SIKICH COZAD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1988-04-01
MCGRATH, MARY, FRANCES EXEC. VICE PRESIDENT, DIRECTOR 05/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC EXEC. VICE PRESIDENT, DIRECTOR direct 2000-05-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC DIRECTOR direct 2000-05-01 2004-03-02
KIDDOO, STEPHEN, CRAIG CHIEF COMPLIANCE OFFICER 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2013-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2016-01-01
STORSVED, ANNE, JOELLE DIRECTOR OF TAX DEPARTMENT 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC DIRECTOR OF TAX DEPARTMENT direct 2013-01-01
JAMES T. SHAPLAND DECL. OF TRUST UAD 02/16/2007 SHAREHOLDER 07/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 2014-07-01
NORRIS, CYNTHIA, C SHAREHOLDER 08/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1994-08-01
NORRIS, JOHNSTON, ALLEN SHAREHOLDER 01/01/1992 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1992-01-01
DAUTEN, KENT, PAUL SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01
MARSH, SHERRYL, DAUTEN SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01

COZAD ASSET MANAGEMENT INC

ownership team - last updated 2017-10-16
Name Title Start Date Direct/Indirect % Ownership
SMITH, LEE, FRANCIS ASS'T. SECRETARY, DIRECTOR OF TRADING 06/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01
SIKICH COZAD ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
PHYSICIAN ADVISORY RESOURCES,LLC CHIEF COMPLIANCE OFFICER, DIRECTOR OF TRADING direct 2004-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,ASS'T. SECRETARY direct 1984-06-01 2004-03-02
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER,VICE PRESIDENT, ASS'T. SECRETARY, DIRECTOR OF TRADING direct 1984-06-01 2016-03-16
KIDDOO, RONALD, LANE CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR 01/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01
SIKICH COZAD ASSET MANAGEMENT LLC MANAGER direct 1998-04-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD, CHIEF INVESTMENT OFFICER/DIRECTOR direct 1982-01-01 2004-03-02
COZAD, GREGORY, DALE PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 11/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 1993-11-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP OFFICER AND SHAREHOLDER OF GENERAL PARTNER, COZAD ASSET MANAGEMENT, INC. direct 2004-09-01
MEACHAM, STUART, THOMAS VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR 10/01/1982 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP CHIEF COMPLIANCE OFFICER direct 2004-09-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR direct 1982-10-01
PHYSICIAN ADVISORY RESOURCES,LLC MANAGER direct 2003-07-01
COZAD ASSET MANAGEMENT INC VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, DIRECTOR direct 1982-10-01 2004-03-02
SHAPLAND, GEORGE, T SHAREHOLDER 02/01/1988 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-02-01
COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP SHAREHOLDER indirect 1988-02-01
PHYSICIAN ADVISORY RESOURCES,LLC SHAREHOLDER indirect 1988-04-01
SIKICH COZAD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1988-04-01
MCGRATH, MARY, FRANCES EXEC. VICE PRESIDENT, DIRECTOR 05/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC EXEC. VICE PRESIDENT, DIRECTOR direct 2000-05-01
PHYSICIAN ADVISORY RESOURCES,LLC EXECUTIVE direct 2003-07-01
COZAD ASSET MANAGEMENT INC DIRECTOR direct 2000-05-01 2004-03-02
KIDDOO, STEPHEN, CRAIG CHIEF COMPLIANCE OFFICER 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2013-01-01
COZAD ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2016-01-01
STORSVED, ANNE, JOELLE DIRECTOR OF TAX DEPARTMENT 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC DIRECTOR OF TAX DEPARTMENT direct 2013-01-01
JAMES T. SHAPLAND DECL. OF TRUST UAD 02/16/2007 SHAREHOLDER 07/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 2014-07-01
NORRIS, CYNTHIA, C SHAREHOLDER 08/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1994-08-01
NORRIS, JOHNSTON, ALLEN SHAREHOLDER 01/01/1992 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1992-01-01
DAUTEN, KENT, PAUL SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01
MARSH, SHERRYL, DAUTEN SHAREHOLDER 06/01/1988 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
COZAD ASSET MANAGEMENT INC SHAREHOLDER direct 1988-06-01

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