03/31/2021
Top Buys
- Name% Change
- IUSB iShares Core Total ... 3.18%
- EFV iShares MSCI EAFE V... 1.86%
- FALN iShares Fallen Ange... 1.21%
- SMLF iShares Edge MSCI M... 0.92%
- MTUM iShares Edge MSCI U... 0.83%
03/31/2021
Top Sells
- Name% Change
- USIG iShares Broad USD I... 2.03%
- IGLB iShares 10Plus Year... 1.56%
- SHYG iShares 0-5 Year Hi... 1.47%
- QUAL iShares Edge MSCI U... 1.25%
- IVV iShares Core S&P 50... 1.0%
03/31/2021
13F Holdings Summary
- Stock% Port
- IVV iShares Core S&P 500 ETF 5.66%
- ESGU iShares ESG MSCI USA ETF 4.86%
- GOVT iShares Core U.S. Treasury ... 4.62%
- IUSB iShares Core Total USD Bond... 3.61%
- VLUE iShares Edge MSCI USA Value... 3.34%
03/31/2021
13F Activity
- Market Value $11.369 Billion
- Prior Market Value $10.67 Billion
- New Purchases309 stocks
- Additional Purchases941 stocks
- Sold out of134 stocks
- Reduced holdings in724 stocks
- Top 10 Holdings % 32.61 %
- Turnover % [1]:15.34%
- Turnover Alt % [2]: 13.99 %
- Time Held Top20:5.70 quarters
- Time Held Top10:6.20 quarters
- Time Held All:10.01 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.
03/31/2021
13F Sector Allocation Over Time
Fund Metrics
You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for CWM, LLC
Risk/Reward Analysis
Portfolio Market Cap Analysis
Portfolio Performance
Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17
| Performance for Q1 2021: | 0.74% |
| Performance Last 4 Quarters: | 23.78% |
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 |
View Last Form Adv Compilation Report on Record
CWM, LLC13321 CALIFORNIA STREET, SUITE 100
OMAHA NE 68154
Country: United States
Business Phone: 402-330-0808
Fax: 402-330-1668
| SEC Registration as : | Large Advisory Firm |
| Form of Organization: | Limited Liability Company |
| Organized in: | NE |
| Number of employees: | 854 |
| Other Business Activities: | |
| Advisor Fees/Compensation: | Percentage of assets under management,Hourly charges,Fixed fees,SOLICITOR FEES FROM OTHER INVESTMENT ADVISORS |
| Amount of client funds and securities: | 325,247,000 |
| Total Number of Clients: | 27944 |
| Amount of client funds and securities by related persons: | |
| Total Number of clients from related persons: | |
| Disclosures: |
- https://www.linkedin.com/in/tim-avila-0a352780/
- https://www.linkedin.com/in/trey-andrew-75351438/
- https://www.linkedin.com/in/scott-kanai-a397077/
- HTTPS://TWITTER.COM/AARONSCHABEN
- https://www.facebook.com/parsonswealthmgmt/
- https://www.facebook.com/The-Thigpen-Group-1537703736533571/
- https://www.linkedin.com/in/tommrush/
- HTTPS://WWW.CONCIERGEWMG.COM/
- https://www.linkedin.com/company/armstrong-purselley-wealth-management-group/
- https://www.linkedin.com/company/the-thigpen-group/
- https://www.linkedin.com/company/valorem-financial/
- HTTPS://TWITTER.COM/CHATMATTGLATT
- HTTPS://WWW.LINKEDIN.COM/COMPANY/APTUS-WEALTH-PLANNING/
- HTTPS://WWW.EQUITYPLANNING.COM/
- https://www.linkedin.com/in/joanna-swanson-994220112/
- HTTPS://WWW.PINNACLEWEALTH.COM
- https://www.linkedin.com/in/michele-stoneham-4125bb107/
- https://www.linkedin.com/company/diamond-wealth-management/
- HTTPS://TWITTER.COM/SCOTTFITZUGA
- HTTPS://WWW.CANISTILLRETIRE.COM
- https://www.facebook.com/parishwealth/
- https://www.instagram.com/carson_group/
- https://www.linkedin.com/in/jeffcarlton/
- HTTPS://TWITTER.COM/STONEBRIDGEFP
- HTTPS://WWW.MELERINE.COM/
- https://www.linkedin.com/in/jessicagamm/
- HTTPS://WWW.RPWMADVISORS.COM/
- HTTPS://WWW.GRAVESFINANCIAL.COM
- HTTPS://WWW.SFMNOW.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/SCOTTDANEK
- HTTPS://WWW.LINKEDIN.COM/IN/MORGAN-GRASER-1B16A392
- HTTPS://WWW.LINKEDIN.COM/IN/CASEYFRANKEN/
- HTTPS://WWW.FACEBOOK.COM/10216325811209235
- https://www.granitews.com/
- https://www.goldfamilywealth.com/
- https://www.gertsema.net/
- https://www.ffrwealthteam.com/
- https://www.collectiveadvisors.com/
- https://www.butterworthfinancial.com/
- https://www.fmiwealth.com/
- https://www.bostonretirementgroup.com/
- https://www.barneswealth.com/
- https://www.bainwealthmanagement.com/
- https://www.afpmoneyguys.com/
- https://www.flpfinancial.com/
- https://www.financialimpactadvisors.com
- https://www.22wealth.com/
- https://www.linkedin.com/company/framework-podcast-with-jamie-hopkins/about/
- https://www.jacobwilliam.com
- https://www.hirstfip.com/
- https://www.heritagefinancialllc.com/
- https://www.linkedin.com/company/collectiveadvisors/
- https://www.linkedin.com/company/business-tax-systems/about/
- https://www.linkedin.com/company/applied-financial-planning-inc/about/
- https://www.linkedin.com/company/gold-family-wealth/
- https://www.instagram.com/mitlinfinancial/
- https://www.instagram.com/larry_sprung/
- https://www.linkedin.com/in/kevinlanebrothers/
- https://www.linkedin.com/in/kevin-j-cicci-78676247/
- https://www.linkedin.com/in/lorenzogaudioso/
- https://www.linkedin.com/in/kevin-christopher-jd-0886429/
- https://www.linkedin.com/in/karingrablin/
- https://www.linkedin.com/in/justin-haschke-cpa-44664825/
- https://www.linkedin.com/in/jonread1/
- https://www.linkedin.com/in/johnkozuch/
- https://www.linkedin.com/in/joel-worsfold-0066a010/
- https://www.linkedin.com/in/joedelmonte/
- https://www.linkedin.com/in/jill-gosz-cfp%C2%AE-1ba0ab9/
- https://www.linkedin.com/in/jasonjuhlricp762896123/
- https://www.linkedin.com/in/jason-comes-48ab0778/
- https://www.linkedin.com/in/jared-jones-33804355/
- https://www.linkedin.com/in/iker-pimienta-a33190130/
- https://www.linkedin.com/in/hussein-elgohary/
- https://www.linkedin.com/in/lisa-thuer-1a62a680/
- https://www.linkedin.com/in/greg-gaynier/
- https://www.linkedin.com/in/gmcgovern1/
- https://www.linkedin.com/in/faron-daugs-cfp%C2%AE-20215a29/
- https://www.linkedin.com/in/lindseytoole/
- https://www.linkedin.com/in/kayla-irr-mendez-5a082716b/
- https://www.linkedin.com/in/yuma-investment-group-wealth-management-74b93193/
- https://www.linkedin.com/in/aaron-schaben-0069a961/
- HTTPS://TWITTER.COM/WHITEEMBER_
- https://www.facebook.com/NikAamlidPinWealth/
- https://www.linkedin.com/company/albritton-financial-services/
- https://www.linkedin.com/in/stacischaradinchamberlain/
- https://www.linkedin.com/in/stevemartinsrq/
- https://www.linkedin.com/in/sarah-duey-jd-ctfa/
- https://www.linkedin.com/in/steven-anderson-ucgrad/
- https://www.facebook.com/Pangea-Wealth-564964343687701/
- https://www.facebook.com/RetirementPlanningWealthManagement/
- https://www.linkedin.com/in/ccarlow/
- https://www.linkedin.com/in/jack-flynn-cfp-r-51676b14/
- https://www.linkedin.com/in/shanna-j-kehoe-cws%C2%AE-629613a/
- HTTPS://WWW.CARSONWEALTH.COM
- HTTPS://WWW.FACEBOOK.COM/NICHOLSWEALTHPARTNERS/
- HTTPS://TWITTER.COM/RANDYHARRISON24
- HTTPS://WWW.FACEBOOK.COM/MEATHWEALTH/
- https://www.facebook.com/granitewealth/
- HTTPS://WWW.LINKEDIN.COM/IN/MARKJACOBRING
- https://www.abarisfinancialgroup.com/
- https://www.linkedin.com/in/sean-phillips-cfp-ab62122/
- HTTPS://TWITTER.COM/RYANMCOOLEY
- https://www.linkedin.com/in/thomas-noel-65a454119/
- HTTPS://TWITTER.COM/MARCSCHLIEFER
- HTTPS://WWW.MAGWEALTH.COM/
- HTTPS://WWW.PREMIERWMG.COM/
- https://www.linkedin.com/in/chelle-briggs-05248637/
- https://www.linkedin.com/in/christopherabla/
- https://www.linkedin.com/in/chelsie-morales-708a4632/
- https://www.instagram.com/carson_wealth/
- https://www.instagram.com/roncarson6/
- https://www.facebook.com/10155743867937026
- https://www.linkedin.com/in/mj-kawamoto/
- https://www.facebook.com/Meikle-Financial-Group-488134838015243/
- https://www.facebook.com/doug.gjerde
- https://www.linkedin.com/in/erin-wood-cfp%C2%AE-crpc-fbs%C2%AE-4554901/
- https://www.linkedin.com/in/grantnieland/
- https://www.wealthcare.us/
- HTTPS://WWW.LINKEDIN.COM/IN/HALOTEYMEMPHIS
- https://www.linkedin.com/in/chris-nichols-48015b44/
- https://www.linkedin.com/in/kristi-harrison-2557a614/
- https://www.linkedin.com/company/wealthcare-partners/
- https://www.facebook.com/AlbrittonFinancialServices/
- HTTPS://WWW.FACEBOOK.COM/2225678061054847
- HTTPS://WWW.FACEBOOK.COM/10101874999373031
- HTTPS://WWW.LINKEDIN.COM/IN/ANDYJORDAN2016
- https://www.linkedin.com/in/stonewayfinancial/
- HTTPS://WWW.LINKEDIN.COM/IN/TBEARDEN
- https://twitter.com/DrivenWealth
- https://www.facebook.com/theoliviergroup/
- HTTPS://WWW.ARMSTRONGPURSELLEY.COM/
- https://www.facebook.com/melaniejhousden/
- https://twitter.com/ChessmanWealth
- HTTPS://WWW.FACEBOOK.COM/WATERSTONEPRIVATEWEALTHMANAGEMENT/
- HTTPS://TWITTER.COM/RCHUSKER
- https://www.diamondwm.com/
- https://www.linkedin.com/in/christopherkoning/
- https://www.facebook.com/101677261018254
- https://www.linkedin.com/in/bradengivens/
- https://www.linkedin.com/in/braddilloncwm/
- https://www.linkedin.com/in/bradleybergdahlcfp/
- https://www.facebook.com/abarisfinancial/
- https://www.linkedin.com/in/brent-dome-388964103/
- https://www.facebook.com/srqwealthmanagement/
- https://www.linkedin.com/company/kanai-wealth-management-group/
- https://www.facebook.com/FFRWealth/
- https://www.facebook.com/10219405261870499
- https://twitter.com/dailmeikle
- HTTPS://WWW.LINKEDIN.COM/COMPANY/PINNACLE-WEALTH-MANAGEMENT---SD/
- HTTPS://WWW.HALOTEYFINANCIAL.COM/
- https://www.linkedin.com/company/wise-counsel-wealth-management/
- HTTPS://WWW.STONEWAYFINANCIAL.COM/
- HTTPS://WWW.SIGNALWEALTH.COM/
- https://www.linkedin.com/company/carsoncoaching/
- https://www.linkedin.com/company/taylor-financial-group/
- https://www.linkedin.com/in/rob-holdford-0823b751/
- https://www.linkedin.com/in/danielle-hampton-b694081/
- https://www.linkedin.com/in/richard-dick-robie-88321717/
- HTTPS://TWITTER.COM/CADWELLWEALTH
- HTTPS://TWITTER.COM/CONMYCHRIS
- HTTPS://WWW.LINKEDIN.COM/IN/RYAN-COOLEY-69478211
- https://www.yumainvestmentgroup.com/
- HTTPS://WWW.FACEBOOK.COM/EQWEALTH
- HTTPS://WWW.WATERSTONEWEALTH.COM/
- https://www.linkedin.com/in/justinehle/
- https://www.linkedin.com/in/katie-mcguire-05aaa319/
- HTTPS://WWW.FACEBOOK.COM/360WEALTHADVISOR/
- HTTPS://WWW.360WEALTHADVISOR.COM/
- HTTPS://WWW.FACEBOOK.COM/CARSONWEALTH
- HTTPS://TWITTER.COM/NFADVISORS
- https://www.linkedin.com/in/brandon-woods-cfp%C2%AE-1a776a103/
- https://www.linkedin.com/in/virgil-dejongh-233aaa7b/
- https://www.facebook.com/10207586421924754
- https://www.facebook.com/10101256970743045
- https://www.chessmanwealth.com/
- https://www.facebook.com/2354413751338707
- HTTPS://WWW.JACOBWILLIAM.COM
- https://www.linkedin.com/in/michaeldgarmone/
- https://www.linkedin.com/in/abbeylhenderson/
- HTTPS://TWITTER.COM/JEREMYWILLNER
- HTTPS://WWW.ABBSADVISORS.COM/
- https://www.linkedin.com/in/matt-friedrichsen-9bb20218/
- https://www.linkedin.com/in/margaret-ronspies/
- HTTPS://WWW.APTUSWEALTHPLANNING.COM
- https://www.facebook.com/10211854372971183
- https://www.linkedin.com/in/clay-kazmierski-b862396b/
- https://www.facebook.com/CarsonGroupCoaching/
- https://www.facebook.com/1890211041075936
- https://www.linkedin.com/company/strategic-financial-management/
- https://www.linkedin.com/company/strategic-wealth-llc/
- https://twitter.com/LatitudeWealth
- https://twitter.com/MeathWealth
- https://twitter.com/MsKGFP
- https://www.linkedin.com/company/premier-wealth-management-group1/
- https://www.linkedin.com/in/mark-anleitner-cfp%C2%AE-1ba526164/
- https://twitter.com/joepmorgan
- https://www.linkedin.com/company/carson-wealth-management-group/
- https://www.facebook.com/kuhlmannfinancial/
- https://www.facebook.com/latitudewealth/
- https://www.linkedin.com/in/marcschliefer/
- HTTPS://TWITTER.COM/ROBHOLDFORD
- https://www.linkedin.com/company/cadwell-wealth/
- https://www.linkedin.com/company/driven-wealth-strategies/
- https://www.linkedin.com/in/ted-delisi-93a0a050/
- https://www.linkedin.com/in/toddmelerine/
- HTTPS://WWW.DSFWEALTHMANAGEMENT.COM/
- https://www.linkedin.com/in/ted-swenson-4a9b40109/
- HTTPS://WWW.HARRISONWALLACE.COM
- https://www.linkedin.com/company/meath-wealth-advisors/
- https://www.linkedin.com/company/meikle-financial-group/
- HTTPS://WWW.MEIKLEGROUP.COM/
- https://twitter.com/pangeawealth
- https://www.facebook.com/2169654463103484
- https://www.linkedin.com/in/bobby-steinau-27295062/
- HTTPS://WWW.STRATEGICWEALTHPARTNERS.COM
- HTTPS://WWW.LINKEDIN.COM/IN/JAMIE-CARROLL-CFP®-57604557
- HTTPS://TWITTER.COM/CARSON_PARTNERS
- HTTPS://WWW.FLPFINANCIAL.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/ALAN-WRIGHT-B2804319
- https://www.linkedin.com/in/randy-harrison-56336536/
- HTTPS://WWW.LINKEDIN.COM/IN/KEVINENGBERSCFP/
- https://www.linkedin.com/company/waterstonewealth/
- HTTPS://WWW.LINKEDIN.COM/IN/RONCARSON1/
- HTTPS://TWITTER.COM/MAG_WEALTH
- HTTPS://TWITTER.COM/MEGRONSPIES
- https://www.linkedin.com/company/the-managed-assets-group-llc/
- HTTPS://WWW.LINKEDIN.COM/IN/HUNTERHART
- HTTPS://WWW.LINKEDIN.COM/COMPANY/DSF-WEALTH-MANAGEMENT-LLC-ATLANTA-GA/
- https://www.linkedin.com/in/bruce-eisenhauer-b535bb16b/
- HTTPS://WWW.LINKEDIN.COM/IN/ZACHARY-LANGAN-4BB8542A
- https://www.linkedin.com/in/daveabbs/
- HTTPS://WWW.LINKEDIN.COM/IN/TAYLORFINANCIALGROUP
- https://www.linkedin.com/in/nolandumas/
- HTTPS://WWW.KUHLMANNFINANCIAL.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/BRAD-DOYLE-B88B339A
- https://www.linkedin.com/in/erik-r-pielstick-cfp%C2%AE-chfc%C2%AE-44881217/
- https://www.linkedin.com/in/ericfordcfp/
- https://www.linkedin.com/in/elizabeth-beebe-4b718621/
- https://www.linkedin.com/in/chad-phipps-67579513/
- https://www.linkedin.com/in/dougpadden/
- https://www.linkedin.com/in/erin-ebert-90346663/
- https://www.linkedin.com/in/clark-permann-cfp%C2%AE-9103b480/
- https://www.linkedin.com/in/christophergraw/
- https://www.linkedin.com/in/christopheralund/
- https://www.linkedin.com/in/chad-marriott-a72435159/
- https://www.linkedin.com/in/carol-macdonald-fpqp/
- https://www.linkedin.com/in/bonnie-bailey-cfp-r-8088845b/
- https://www.linkedin.com/in/beth-v-walker-6771ab198/
- https://www.linkedin.com/in/ben-hewlett-cfp%C2%AE-40b2aab2/
- https://www.linkedin.com/in/assetadvisorsllc/
- https://www.linkedin.com/in/andrea-graham-crpc%C2%AE-752528122/
- https://www.linkedin.com/in/amy-owen-cadwell-a8330b43/
- https://www.linkedin.com/in/alexandra-alexandrou-428a5662/
- https://www.linkedin.com/in/adamjflagg/
- https://www.linkedin.com/company/whiteember/
- https://www.linkedin.com/company/washington-financial-bank-wealth-management/
- https://www.linkedin.com/company/the-retirement-planning-concierge/
- https://www.linkedin.com/company/stoneway-financial-llc/
- https://www.linkedin.com/company/retirement-extender%C2%AE/
- https://www.linkedin.com/in/lori-knighton-904aa518/
- https://www.linkedin.com/company/wealthmanagement-inc/
- HTTPS://TWITTER.COM/SIGNAL_WEALTH
- HTTPS://WWW.PANGEAWEALTH.COM/
- HTTPS://WWW.FACEBOOK.COM/APTUSWEALTHPLANNING
- https://www.linkedin.com/company/navion-financial-advisors-llc/
- https://www.linkedin.com/company/parsonswealthmanagement/
- https://www.linkedin.com/company/mitlinfinancial/
- https://www.linkedin.com/company/main-street-fin-life-advisors-llc/
- https://www.linkedin.com/company/lund-wealth-management/
- https://www.linkedin.com/company/grooms-wealth-management/about/
- https://www.harrisonwallace.com/
- https://www.haloteyfinancial.com/
- https://www.gravesfinancial.com/
- https://www.facebook.com/2691670117517828
- HTTPS://WWW.LINKEDIN.COM/IN/DANNYTONEY
- https://www.facebook.com/311817029635065
- https://www.facebook.com/316974155467632
- HTTPS://WWW.FACEBOOK.COM/NFADVISORS/
- HTTPS://TWITTER.COM/IAMDANNYTONEY
- https://www.facebook.com/3385856628106363
- HTTPS://WWW.LINKEDIN.COM/IN/KENTKUHLMANN/
- https://www.linkedin.com/in/nealmalbritton/
- https://www.linkedin.com/in/scottconroy/
- https://www.linkedin.com/in/domlara713/
- HTTPS://WWW.FFRWEALTHTEAM.COM/
- HTTPS://TWITTER.COM/WATERSTONEPWM
- HTTPS://TWITTER.COM/PINWEALTHSD
- https://www.linkedin.com/in/bowenthigpen/
- https://www.linkedin.com/in/jennifer-homman-54b53b38/
- HTTPS://WWW.FACEBOOK.COM/OGDENWEALTH/
- HTTPS://TWITTER.COM/SIGWM15
- HTTPS://WWW.NAVIGUIDEWEALTH.COM/
- https://www.linkedin.com/in/jeffreyfattig/
- HTTPS://TWITTER.COM/ERINWOOD402
- https://www.instagram.com/goldfamilywealth/
- https://www.instagram.com/chessmanwealth/
- https://www.instagram.com/albrittonfs/
- https://www.latitudewealth.com/
- https://www.lanebrothers.com/
- https://www.kuhlmannfinancial.com/
- https://www.kpfinancialgroup.com/
- https://www.jbakeradvisor.com/
- https://www.jamiehopkins.com/
- HTTPS://TWITTER.COM/CARSONWEALTH
- https://www.linkedin.com/in/adriangibbs-anderson/
- https://www.linkedin.com/in/alex-mchugh-a91bb0129/
- https://www.linkedin.com/in/ethan-j-goff-11082a83/
- HTTPS://TWITTER.COM/JAMIECARROLLCWM
- HTTPS://TWITTER.COM/RETIREMENTRISKS
- HTTPS://WWW.BMYWEALTH.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/JIM-CALDWELL-29755311
- https://twitter.com/TeamFFR
- HTTPS://TWITTER.COM/NEALM3674
- https://www.srqwealth.com/
- https://www.linkedin.com/in/teri-shepherd-13008a22/
- HTTPS://WWW.MEATHWEALTHADVISORS.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/JAKE-BOUSLOG-80B31B6A
- https://www.facebook.com/Drivenwealthstrategies/
- https://www.linkedin.com/company/signalwealth/
- https://www.linkedin.com/in/jonpettigrew1/
- HTTPS://WWW.LINKEDIN.COM/IN/INVESTWITHKENGRANT
- https://www.linkedin.com/in/adrian-elder-5b296121/
- HTTPS://TWITTER.COM/APTUSWEALTH
- https://www.linkedin.com/in/doug-gjerde-9929378/
- https://www.linkedin.com/in/marcelo-bernardo-3696b333/
- https://www.facebook.com/bowen.thigpen
- https://www.linkedin.com/in/lennyhirst/
- https://www.linkedin.com/in/toby-lafont-84bbb430/
- https://www.linkedin.com/in/thomkhallcfp/
- https://www.linkedin.com/in/thomas-b-fecteau-jr-2a5b5920/
- https://www.linkedin.com/in/taylor-wald-370819b8/
- https://www.linkedin.com/in/steve-margulin-aa20409/
- https://www.linkedin.com/in/steve-kuhn-538463116/
- https://www.linkedin.com/in/steve-henningson-cima-487b764/
- https://www.linkedin.com/in/lawrencesprung/
- https://www.linkedin.com/in/kgoulard/
- https://www.linkedin.com/in/skubie/
- https://www.linkedin.com/in/sean-walker-a1194618a/
- https://www.linkedin.com/in/scottgrooms/
- https://twitter.com/kubie_scott
- https://www.linkedin.com/in/ryan-ovenden-a0a6678/
- https://www.linkedin.com/in/rosslawrence/
- https://www.linkedin.com/in/rose-mary-leyva-829b8345/
- https://www.linkedin.com/in/robinbrewton/
- https://www.linkedin.com/in/robertmeath/
- https://www.linkedin.com/in/rachel-amey-67783383/
- https://www.linkedin.com/in/philip-vann-ms-75333410a/
- https://www.linkedin.com/in/patrick-healy-cfp%C2%AE-5016481b/
- https://www.linkedin.com/in/paticarr/
- https://www.linkedin.com/in/milo-park-2a25b7136/
- https://www.linkedin.com/in/neepatrick/
- https://www.linkedin.com/in/morgan-snow-006b5a15a/
- https://www.linkedin.com/in/mollybender/
- https://www.linkedin.com/in/michaelgoldfamilywealth/
- https://www.linkedin.com/in/miakitner/
- https://www.linkedin.com/in/megan-lane-499a0a123/
- https://www.linkedin.com/in/mark-schlipman-aif%C2%AE-669598149/
- https://twitter.com/SRQwealth
- https://twitter.com/Lundwealth2
- https://twitter.com/ltah2
- https://www.facebook.com/jeff.pesta.9
- https://twitter.com/ScottGroomsCFP
- https://twitter.com/Lawrence_Sprung
- https://twitter.com/ngertsema
- https://www.facebook.com/erin.schwoerer
- https://www.facebook.com/bethvwalkerCWM
- https://www.facebook.com/FaganAnna
- https://www.facebook.com/erikr.pielstick
- https://www.facebook.com/EQWealth/
- https://www.facebook.com/dominik.lara.900
- https://www.facebook.com/dominik.lara
- https://www.facebook.com/debra.azariantaylor
- https://www.facebook.com/2858945384217776
- https://www.facebook.com/CollectiveAdvisors
- https://www.facebook.com/2505539146406946
- https://www.facebook.com/22wealth
- https://www.facebook.com/Chris-Graw-Partner-and-Wealth-Advisor-110483237230412
- https://www.facebook.com/chris.graw.7
- https://www.facebook.com/casey.valorem.7
- https://www.linkedin.com/showcase/mitlinmoneymindset/
- https://www.facebook.com/CarsonPartners
- https://www.linkedin.com/in/william-postma-66558569/
- https://www.linkedin.com/in/william-bill-o-connor-ms-cfp%C2%AE-ea-87351a1/
- https://twitter.com/JuhlJason
- https://twitter.com/JohnKozuch22
- https://twitter.com/jlarsennav
- https://twitter.com/Jason_Comes
- https://twitter.com/GoldFamilyWlth
- https://twitter.com/flpfinancial
- https://twitter.com/farondaugs
- https://twitter.com/CollectiveAdvrs
- https://twitter.com/BourbonBonnie
- https://twitter.com/AFPMoneyGuys
- https://www.facebook.com/WhiteEmber
- https://www.facebook.com/WealthManagementInc/
- https://twitter.com/mschlipman
- https://www.facebook.com/WashingtonFinancialWealthManagement
- https://twitter.com/MitlinMoney
- https://www.facebook.com/tim.bearden.39
- https://www.facebook.com/TheMoneyGuys
- https://www.facebook.com/ted.delisi
- https://www.facebook.com/stephenjmartin15
- https://twitter.com/MitlinFinancial
- https://twitter.com/MainStFLA
- https://www.facebook.com/5042617365809538
- https://www.facebook.com/bostonretirementgroup
- https://www.linkedin.com/in/triston-hasty-grant-a23b78172/
- https://www.linkedin.com/in/treyliebau/
- https://www.facebook.com/CarsonGroup
- HTTPS://WWW.LINKEDIN.COM/IN/CHRIS-CONMY-AWMA®-5590465
- https://www.linkedin.com/in/janet-rhodes-friedman-cfp%C2%AE-cdfa%C2%AE-a423a75/
- HTTPS://WWW.LINKEDIN.COM/IN/NEAL-MCGRATH-CRPC®-AAMS®-7493B766
- https://www.linkedin.com/in/jcorron/
- https://www.linkedin.com/in/jamie-hopkins-esq-llm-cfp%C2%AE-chfc%C2%AE-clu%C2%AE-ricp%C2%AE-022a502a/
- https://www.linkedin.com/in/janet-barrett-chfc-3175b2140/
- https://www.linkedin.com/in/kc-pochobradsky-8070b2a/
- https://www.linkedin.com/in/austin-delery-a6848397/
- https://www.linkedin.com/company/carson-partners/
- https://www.facebook.com/hirstfip
- https://www.facebook.com/Jason-Juhl-Wealth-Advisor-RICP-AIF-108693140960261
- https://www.facebook.com/GravesFinancialGlendora
- https://www.facebook.com/goldfamilywealth
- https://www.facebook.com/FMIARDMORE
- https://www.linkedin.com/in/mark-mccallum-cfp%C2%AE-mba-2a645b10/
- https://www.linkedin.com/in/markbutterworth5/
- https://www.facebook.com/Kanai-Pettigrew-Financial-Group-206664799352550/
- https://twitter.com/MichaelDavidCWM
- https://www.linkedin.com/in/cwschuler/
- https://www.linkedin.com/in/mskgfp/
- HTTPS://WWW.LINKEDIN.COM/IN/EQUITY-PLANNING-INC-7245079B
- https://www.facebook.com/10215632502144980
- https://www.facebook.com/2156497691056106
- HTTPS://WWW.LINKEDIN.COM/IN/GEORGETOWNWEALTHADVISOR
- HTTPS://WWW.PESTAANDPESTA.COM/
- https://www.facebook.com/537858500355424
- https://www.linkedin.com/in/jake-stone-mba/
- HTTPS://WWW.FACEBOOK.COM/STRATEGICFINANCIALMANAGEMENT/
- HTTPS://TWITTER.COM/JESSICAPEREZJE
- https://www.linkedin.com/company/pesta-pesta-tax-preparation/about/
- https://www.linkedin.com/in/kevinwalbritton/
- https://www.facebook.com/abbeylhenderson
- https://www.facebook.com/morganwealth7/
- https://www.facebook.com/armstrongpurselley/
- HTTPS://WWW.CARSONGROUP.COM
- HTTPS://WWW.FACEBOOK.COM/10217943714214567
- https://www.linkedin.com/company/pangeawealth/
- HTTPS://TWITTER.COM/MJR363
- https://www.linkedin.com/in/emily-n-lee-cfp%C2%AE-51b1166b/
- HTTPS://WWW.LINKEDIN.COM/IN/DAVIDMCMENAMINCFP
- https://www.linkedin.com/in/shawn-mckeown-mba-9a0a7a13a/
- https://www.linkedin.com/in/shelley-funke-frommeyer-0b79421/
- https://www.linkedin.com/in/matthew-kory-aif%C2%AE-ppc%E2%84%A2-cpfa-7422396b/
- https://www.linkedin.com/company/bmy-wealth-management/
- https://twitter.com/ScottDFord
- https://www.linkedin.com/in/melissa-schorr-8a596a95/
- https://www.linkedin.com/company/sovereign-investment-group-inc/
- https://twitter.com/HeritageFinPart
- https://www.linkedin.com/in/alexander-reed-14856a43/
- https://twitter.com/BmyWealth
- https://twitter.com/Valoremsays
- https://www.facebook.com/Abbs-Retirement-Planning-Advisors-480928245362625/
- HTTPS://WWW.LINKEDIN.COM/COMPANY/FLP-FINANCIAL-GROUP-LLC/
- HTTPS://WWW.KPFINANCIALGROUP.COM
- https://www.linkedin.com/in/shawndi/
- HTTPS://WWW.HIRSTFIP.COM/
- https://www.facebook.com/mitlinfinancial
- https://www.facebook.com/MickEdwardsAdvisor
- https://www.facebook.com/markanleitner
- https://www.facebook.com/MainStreetFLA
- https://twitter.com/WealthCareIndy
- https://www.linkedin.com/company/srq-wealth-management/
- https://www.linkedin.com/company/stonebridge-financial-partners-llc/
- https://www.facebook.com/10212183330168513
- https://www.facebook.com/lvsecurelifestyle
- https://www.linkedin.com/in/dailmeiklecfp/
- https://www.linkedin.com/in/edwardsmick/
- https://www.facebook.com/LundWealthManagement
- https://www.linkedin.com/in/danieladamscfp/
- HTTPS://WWW.LINKEDIN.COM/IN/DEAN-BERTSCH-38711A128/
- HTTPS://TWITTER.COM/WISHAN_ERIC
- HTTPS://WWW.LINKEDIN.COM/IN/JEFFPESTA
- HTTPS://TWITTER.COM/CARSONGROUPLLC
- HTTPS://WWW.CULTIVATEWEALTH.COM/
- https://www.albrittonfs.com/
- https://www.facebook.com/10216963808999441
- https://www.linkedin.com/in/jtweller/
- https://www.linkedin.com/in/alexa-brascetta-515a7168/
- https://www.linkedin.com/in/kelsey-ruwe-shrm-cp-phr-43595719/
- https://www.facebook.com/10219806738021803
- https://www.linkedin.com/in/shayla-kriha-64b1a285/
- HTTPS://WWW.FACEBOOK.COM/2104982513145131
- https://www.linkedin.com/in/michelleogdencfp/
- https://www.linkedin.com/in/wade-h-chessman-cfp%C2%AE-a031995/
- https://www.facebook.com/bmywealthmanagementgroup/
- https://www.lionsgatewm.com/
- https://www.lundwealth.com/
- https://www.morganwm.com/
- https://www.parsonswealthmgmt.com/
- https://www.linkedin.com/company/solomon-financial-advisors/
- https://www.facebook.com/sleekfitness/
- https://www.facebook.com/scottgroomscfp
- https://www.facebook.com/scott.ford.7906
- https://www.facebook.com/SCadwellCarsonWealth
- https://www.facebook.com/RussNieland.CarsonWealth
- https://www.facebook.com/retirementextendermethod
- https://www.facebook.com/morgansnowfitness
- https://www.linkedin.com/in/nolan-maloney-ba110a4a/
- https://twitter.com/tulsaadvisor
- https://www.facebook.com/lindseytoolewealthadvisor
- https://twitter.com/ToddMelerine
- https://twitter.com/ThomKhall
- https://www.facebook.com/leonard.hirst
- https://www.facebook.com/lawrencesprung
- https://twitter.com/katiewurth
- https://www.facebook.com/DiamondWealthManagement/
- HTTPS://WWW.LINKEDIN.COM/IN/MARK-LOOKABILL-82110131
- https://www.facebook.com/619897021811344
- https://www.linkedin.com/in/byronwatkins/
- HTTPS://WWW.LINKEDIN.COM/IN/DOUGLAS-FLUKE-DSFWEALTH-CFP®-
- HTTPS://WWW.FACEBOOK.COM/STONEBRIDGEFP/
- HTTPS://WWW.LINKEDIN.COM/COMPANY/JACOB-WILLIAM-ADVISORY/
- HTTPS://WWW.FACEBOOK.COM/SIGNALWEALTH/
- https://twitter.com/daveabbs
- https://www.valoremfinancial.com/
- HTTPS://WWW.FACEBOOK.COM/TAYLORFINANCIALGROUP
- https://www.linkedin.com/company/heritage-financial-partners-llc/
- HTTPS://WWW.LINKEDIN.COM/COMPANY/GRAVES-FINANCIAL-WEALTH-MANAGEMENT/
- HTTPS://WWW.SCHLIPMANWEALTH.COM
- HTTPS://WWW.FACEBOOK.COM/FLPFINANCIAL
- https://www.linkedin.com/company/hal-otey-financial/
- HTTPS://WWW.LINKEDIN.COM/IN/MICHAEL-DAVID-241B5A85
- https://www.linkedin.com/in/hastygrant/
- https://twitter.com/sarah_duey
- HTTPS://WWW.LINKEDIN.COM/IN/MELISSASALDIVAR
- https://www.linkedin.com/company/equanimity-wealth-management/
- https://www.drivenwealthstrategies.com/
- https://twitter.com/jaymon_meikle
- HTTPS://TWITTER.COM/OGDENWEALTH
- HTTPS://WWW.NICHOLSWEALTH.COM
- HTTPS://WWW.BARRINGTONWEALTHMANAGEMENT.COM/
- HTTPS://WWW.FINANCIALIMPACTADVISORS.COM
- https://www.facebook.com/2187806261243160
- https://www.linkedin.com/in/brennen-bergdahl-26266080/
- HTTPS://WWW.OLIVIERGROUP.COM/
- https://www.linkedin.com/in/taramcarlson/
- https://www.linkedin.com/in/johnparsonscpa/
- https://www.linkedin.com/company/ogden-wealth-llc/
- https://www.linkedin.com/company/parsonswealthmgmt/
- https://www.linkedin.com/in/jonathanmullinsfinancialplanner/
- HTTPS://TWITTER.COM/CARSON_COACHING
- https://www.facebook.com/chessmanwealthstrategies/
- https://www.linkedin.com/in/taylor-smithyman-cfp-cpa/
- HTTPS://WWW.FACEBOOK.COM/CULTIVATEWEALTHADVISORS/
- https://twitter.com/AlbrittonFS
- HTTPS://WWW.GRANITEWS.COM/
- HTTPS://WWW.FACEBOOK.COM/ALLGOOD FINANCIAL ADVISORY
- https://www.facebook.com/heritagefin/
- HTTPS://WWW.LATITUDEWEALTH.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/SCOTT-TOMS-CIMA®-B560B843
- https://www.linkedin.com/in/scotthigpen/
- HTTPS://WWW.FACEBOOK.COM/STEVEHENNINGSONCONCIERGEWEALTHMANAGEMENTGROUP/
- https://www.linkedin.com/company/carsongroupllc/
- HTTPS://WWW.WHITEEMBER.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/DEREKPESTA
- https://www.linkedin.com/in/benjamin-heeren-0a3b5112a/
- HTTPS://WWW.LINKEDIN.COM/IN/COLIN-S-CASEY-CFP®-18692541
- HTTPS://TWITTER.COM/DEBRATAYLORTFG
- HTTPS://WWW.WEALTHWAKEUP.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/KERRY-MEATH-SINKIN-82462A5
- HTTPS://WWW.FACEBOOK.COM/10217551496325133
- HTTPS://WWW.LINKEDIN.COM/IN/NIKA44/
- https://www.linkedin.com/in/jeremy-willner-5546876/
- HTTPS://WWW.PARISHWEALTH.COM/
- https://www.linkedin.com/in/sreynolds1/
- https://www.linkedin.com/in/debranguette/
- HTTPS://WWW.FACEBOOK.COM/MAGWEALTHMGMT/
- HTTPS://WWW.EQ-WEALTH.COM
- HTTPS://WWW.HERITAGEFINANCIALLLC.COM/
- HTTPS://WWW.ALLGOOD-FINANCIAL.COM/
- HTTPS://WWW.LINKEDIN.COM/IN/MATTHEW-GLATT-CPA-A66785B
- https://www.linkedin.com/company/chessman-wealth-strategies/
- HTTPS://WWW.LINKEDIN.COM/IN/ERICWISHAN/
- https://twitter.com/trey_andrew_
- https://www.linkedin.com/in/chad-olivier-70b29621/
- https://www.linkedin.com/in/joel-larsen-cfp-aif/
- HTTPS://TWITTER.COM/DSFWEALTHMGMT
- https://twitter.com/ScottCadwellCFP
- https://www.facebook.com/AlexReedCFP/
- HTTPS://WWW.LINKEDIN.COM/IN/ABBY-MACK-968A5276/
- HTTPS://WWW.LINKEDIN.COM/IN/SCOTTDFORD
- HTTPS://WWW.THETHIGPENGROUP.COM/
- HTTPS://WWW.FACEBOOK.COM/DSFWEALTHMANAGEMENT/
- HTTPS://WWW.LINKEDIN.COM/IN/PAUL-WEST-809A1352/
- HTTPS://WWW.LINKEDIN.COM/IN/THOMAS-SCOTT-BROWN-CRPC®-AAMS®-AWMA®-APMA-A651138
- https://twitter.com/apwmg
- HTTPS://TWITTER.COM/BRADLEYADILLON
- HTTPS://WWW.LINKEDIN.COM/IN/RICHARD-GIBBS-651048120
- https://twitter.com/TheOlivierGroup
- HTTPS://WWW.FACEBOOK.COM/PINNACLEWEALTHSD/
- HTTPS://WWW.WEALTHFROMWISDOMRADIO.COM/
- https://www.facebook.com/TheRetirementPlanningConcierge/
- HTTPS://TWITTER.COM/CULTIV8WEALTH
- https://www.linkedin.com/in/jaymon-meikle-557389128/
- https://www.facebook.com/Valorem-Financial-100668088006807/
- https://www.facebook.com/WiseCounselWealth/
- HTTPS://WWW.FACEBOOK.COM/WEALTHMANAGEMENTINC
- HTTPS://TWITTER.COM/SCTTCONROY
- HTTPS://WWW.LINKEDIN.COM/IN/MICHELE-SCHRECK-38675611A/
- https://www.linkedin.com/in/evan-topor-71b9199/
- https://www.linkedin.com/in/scott-cadwell-85076419/
- HTTPS://WWW.FACEBOOK.COM/PREMIERWMG/
- https://www.linkedin.com/in/george-davis-b4055016/
- HTTPS://WWW.LINKEDIN.COM/IN/TYLER-SILVERTHORN-CFP®-89B78924
- https://www.washfinwealth.com/
- HTTPS://TWITTER.COM/STRATEGIC_WP
- HTTPS://WWW.STONEBRIDGEFINANCIALPARTNERS.COM
- https://twitter.com/ckoppenberg
- https://www.linkedin.com/in/lena-seukunian-719b5314b/
- https://twitter.com/desertgator5
- https://www.linkedin.com/in/wes-sullivan-1689792a/
- HTTPS://WWW.WISECOUNSEL-INC.COM/
- https://www.facebook.com/AbbeyHendersonFinancialCoach/
- HTTPS://WWW.LINKEDIN.COM/COMPANY/ASSET-ADVISORS-LLC-BELLINGHAM-WA/
- HTTPS://WWW.RETIREMENTEXTENDER.COM/
- HTTPS://TWITTER.COM/WISECOUNSELWM
- HTTPS://WWW.OGDENWEALTHLLC.COM/
- HTTPS://WWW.NFADVISORS.COM/
- https://www.linkedin.com/in/scott-fitzgerald-b356b323/
- https://www.facebook.com/Cadwell-Wealth-186102274794044/
- https://www.linkedin.com/in/erin-jones-66a01439/
- https://www.linkedin.com/in/russ-nieland-295bb79/
- HTTPS://WWW.LINKEDIN.COM/IN/DANMORRISON1
- HTTPS://WWW.FACEBOOK.COM/FINANCIALIMPACTADVISORS/
- HTTPS://WWW.FACEBOOK.COM/HALOTEYFINANCIAL/
- HTTPS://WWW.LINKEDIN.COM/COMPANY/PESTA-&-PESTA-WEALTH-MANAGEMENT/
- https://www.linkedin.com/company/concierge-wealth-management-group/
- HTTPS://WWW.LINKEDIN.COM/IN/JEFF-MAYNARD-25431273
- HTTPS://TWITTER.COM/EQUANIMITY_WM
- HTTPS://WWW.FACEBOOK.COM/10212039209956317
- HTTPS://WWW.LINKEDIN.COM/IN/DUANETONEY1
- HTTPS://WWW.GERTSEMA.NET/
- https://twitter.com/YumaInvestmentG
- https://www.linkedin.com/in/john-ogden-2653a933/
- https://www.linkedin.com/in/joe-morgan-cfp-chfc-b505808/
- https://www.linkedin.com/company/equity-planning-institute-inc/
- https://www.linkedin.com/company/financial-impact-advisors/
- https://www.facebook.com/YIGonline/
- https://www.linkedin.com/company/cultivate-wealth/
- HTTPS://WWW.TAYLORFINANCIALGROUP.COM
- https://www.linkedin.com/company/latitudewealth/
- https://twitter.com/DanielAdamsUS
- HTTPS://WWW.LINKEDIN.COM/IN/CLIFFORD-YORK-98B75111A
- https://www.linkedin.com/in/jessalyn-pito-a55a2a12/
- https://www.linkedin.com/in/jeremy-willner-5546876/
- HTTPS://TWITTER.COM/GRAVESFINANCIAL
- HTTPS://WWW.LINKEDIN.COM/IN/CAMILLEKOPPENBERG
Data above was derived from SEC filings.
Active Schedule 13D and 13G events
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CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON, RONALD, LLOYD | FOUNDER AND CEO | 11/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| SCHABEN, AARON, EUGENE | PRESIDENT | 11/01/2011 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| Clements, James | CHIEF COMPLIANCE OFFICER | 09/01/2020 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| Engelbart, Nicholas, James | CHIEF FINANCIAL OFFICER | 09/01/2020 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| Miller, Kevin, Joseph | GENERAL COUNSEL & CORPORATE SECRETARY | 08/01/2020 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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| REED, KIMBERLY, RAE | VICE PRESIDENT, FINANCE & ACCOUNTING | 01/01/2021 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Clements, James | CHIEF COMPLIANCE OFFICER | 09/01/2020 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Engelbart, Nicholas, James | CHIEF FINANCIAL OFFICER | 09/01/2020 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Clements, James | CHIEF COMPLIANCE OFFICER | 09/01/2020 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Engelbart, Nicholas, James | CHIEF FINANCIAL OFFICER | 09/01/2020 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership |
|---|
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | OWNER CARSON GROUP, INC. | 12/01/1994 | Indirect | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON GROUP, INC. | DIRECT OWNER CARSON GROUP HOLDINGS, LLC | 07/01/2019 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | PRINCIPAL CARSON HOLDINGS GROUP LLC. | 12/01/1994 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | PRINCIPAL CARSON HOLDINGS GROUP LLC. | 12/01/1994 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| WEST, PAUL, MICHAEL | MANAGING DIRECTOR OF CARSON WEALTH | 06/01/2012 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | PRINCIPAL CARSON HOLDINGS GROUP LLC. | 12/01/1994 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
CWM, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | |||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| CARSON GROUP HOLDINGS, LLC | DIRECT OWNER | 10/01/2010 | Direct | 75% or more | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| SCHABEN, AARON, EUGENE | MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE | 11/01/2011 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| WEST, PAUL, MICHAEL | MANAGING DIRECTOR OF CARSON WEALTH | 06/01/2012 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | CHIEF EXECUTIVE OFFICER | 11/01/2010 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| HUNT, LANTZ, GUY | CHIEF OPERATIONS OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| TOBIN, DANIEL, P | SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER | 04/01/2017 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| Screnar, David | CHIEF FINANCIAL OFFICER | 03/01/2018 | Direct | less than 5% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
| CARSON, RONALD, LLOYD | PRINCIPAL CARSON HOLDINGS GROUP LLC. | 12/01/1994 | Indirect | 50 - 75% | |||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||
