Cwm is based out of Omaha. Cwm is a large advisory firm with 27944 clients and discretionary assets under management (AUM) of $15,184,324,568 (Form ADV from 2021-04-09). Their last reported 13F filing for Q1 2021 included $11,369,326,000 in managed 13F securities and a top 10 holdings concentration of 32.61%. Cwm's largest holding is iShares Core S&P 500 ETF with shares held of 1,618,199. Whalewisdom has at least 31 13F filings

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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

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

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

CWM, LLC
13321 CALIFORNIA STREET, SUITE 100
OMAHA NE    68154
Country: United States

Business Phone: 402-330-0808
Fax: 402-330-1668
Professional Investment Advisor Data
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:
Data above was derived from SEC filings.

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CWM, LLC

ownership team - last updated 2021-03-30
Name Title Start Date Direct/Indirect % Ownership
CARSON, RONALD, LLOYD FOUNDER AND CEO 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE PRESIDENT 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
Clements, James CHIEF COMPLIANCE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
Engelbart, Nicholas, James CHIEF FINANCIAL OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
Miller, Kevin, Joseph GENERAL COUNSEL & CORPORATE SECRETARY 08/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRECEK & YOUNG ADVISORS, INC. VP, CHIEF COMPLIANCE OFFICER, AML OFFICER, IDENTITY THEFT PREVENTION OFFICER direct 2009-01-01
BRECEK & YOUNG ADVISORS, INC. CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER direct 2009-05-01
BRECEK & YOUNG ADVISORS, INC. SENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY direct 2009-05-01
BRECEK & YOUNG ADVISORS, INC. VP, CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER) direct 2009-05-01
SECURITIES AMERICA ADVISORS, INC. FIRST VICE PRESIDENT AND ASSISTANT GENERAL COUNSEL direct 2005-09-01
SECURITIES AMERICA ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/DEPUTY GENERAL COUNSEL direct 2007-01-01
SECURITIES AMERICA ADVISORS, INC. VICE PRESIDENT/ASSOCIATE GENERAL COUNSEL direct 2007-01-01
SECURITIES AMERICA ADVISORS, INC. VICE PRESIDENT/ASSISTANT GENERAL COUNSEL direct 2007-01-01
SECURITIES AMERICA ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/DEPUTY GENERAL COUNSEL, AML, PRIVACY, IDENTITY THEFT PROTECTION POLICY & RISK OFFICER direct 2009-05-01
SECURITIES AMERICA ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/DEPUTY GENERAL COUNSEL, AML OFFICER, PRIVACY OFFICER, ITPP OFFICER direct 2009-05-01
SECURITIES AMERICA ADVISORS, INC. SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ GENERAL COUNSEL, AML OFFICER, PRIVACY OFFICER, ITPP OFFICER, CORPORATE SECRETARY direct 2012-01-01
SECURITIES AMERICA ADVISORS, INC. SENIOR VICE PRESIDENT/ GENERAL COUNSEL, AML OFFICER, PRIVACY OFFICER, ITPP OFFICER, CORPORATE SECRETARY direct 2012-08-01
SECURITIES AMERICA ADVISORS, INC. SENIOR VICE PRESIDENT/ GENERAL COUNSEL, CORPORATE SECRETARY direct 2013-06-01
SECURITIES AMERICA ADVISORS, INC. SENIOR VICE PRESIDENT/ GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AML OFFICER, PRIVACY OFFICER, ITPP OFFICER, CORP. SECRETARY direct 2013-06-01
SECURITIES AMERICA ADVISORS, INC. EXECUTIVE VICE PRESIDENT/ GENERAL COUNSEL, CORPORATE SECRETARY direct 2013-06-01
ARBOR POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER (CCO) AND MANAGER direct 2012-07-01
ARBOR POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER (CCO) direct 2012-12-01
ARBOR POINT ADVISORS, LLC CHIEF COMPLIANCE OFFICER (CCO) direct 2013-06-01
REED, KIMBERLY, RAE VICE PRESIDENT, FINANCE & ACCOUNTING 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC VICE PRESIDENT, FINANCE & ACCOUNTING direct 2021-01-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2020-11-02
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
Clements, James CHIEF COMPLIANCE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
Engelbart, Nicholas, James CHIEF FINANCIAL OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2020-09-17
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
Clements, James CHIEF COMPLIANCE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
Engelbart, Nicholas, James CHIEF FINANCIAL OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2020-09-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

CWM, LLC

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2019-09-13
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD OWNER CARSON GROUP, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
CARSON GROUP, INC. DIRECT OWNER CARSON GROUP HOLDINGS, LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC DIRECT OWNER direct 2010-10-01

CWM, LLC

ownership team - last updated 2019-06-05
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD PRINCIPAL CARSON HOLDINGS GROUP LLC. 12/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01

CWM, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD PRINCIPAL CARSON HOLDINGS GROUP LLC. 12/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01

CWM, LLC

ownership team - last updated 2018-12-24
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
WEST, PAUL, MICHAEL MANAGING DIRECTOR OF CARSON WEALTH 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HA&W WEALTH MANAGEMENT, LLC PARTNER direct 2011-01-01
IPRO ONE GROUP, INC. COO/CFO direct 2007-10-01
IPRO ONE MANAGEMENT, INC. PRESIDENT direct 2007-10-01
IPRO ONE MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER /PRESIDENT direct 2007-10-01
ALETHEAN ADVISORS, LLC PRESIDENT indirect 2010-01-01
CWM, LLC BOARD MEMBER direct 2012-06-01
CWM, LLC MANAGING DIRECTOR OF CARSON WEALTH direct 2012-06-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD PRINCIPAL CARSON HOLDINGS GROUP LLC. 12/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01

CWM, LLC

ownership team - last updated 2018-06-21
Name Title Start Date Direct/Indirect % Ownership
CARSON GROUP HOLDINGS, LLC DIRECT OWNER 10/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
CWM, LLC DIRECT OWNER direct 2010-10-01
SCHABEN, AARON, EUGENE MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC MANAGING DIRECTOR OF CARSON INSTITUTIONAL ALLIANCE direct 2011-11-01
CWM, LLC MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
CWM, LLC BOARD MEMBER/MANAGING DIRECTOR OF STRATEGIC OPPORTUNITIES direct 2011-11-01
WEST, PAUL, MICHAEL MANAGING DIRECTOR OF CARSON WEALTH 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HA&W WEALTH MANAGEMENT, LLC PARTNER direct 2011-01-01
IPRO ONE GROUP, INC. COO/CFO direct 2007-10-01
IPRO ONE MANAGEMENT, INC. PRESIDENT direct 2007-10-01
IPRO ONE MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER /PRESIDENT direct 2007-10-01
ALETHEAN ADVISORS, LLC PRESIDENT indirect 2010-01-01
CWM, LLC BOARD MEMBER direct 2012-06-01
CWM, LLC MANAGING DIRECTOR OF CARSON WEALTH direct 2012-06-01
CARSON, RONALD, LLOYD CHIEF EXECUTIVE OFFICER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01
HUNT, LANTZ, GUY CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2013-12-01
CWM, LLC SENIOR VICE PRESIDENT - OPERATIONS direct 2014-04-01
CWM, LLC EXECUTIVE VICE PRESIDENT - OPERATIONS direct 2014-04-01
TOBIN, DANIEL, P SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
QA3 FINANCIAL LLC VICE PRESIDENT direct 2006-12-01
CWM, LLC SENIOR VICE PRESIDENT OF RISK MANAGEMENT direct 2015-10-01
CWM, LLC SR. VP OF RISK MANAGEMENT, CHIEF COMPLIANCE OFFICER direct 2017-04-01
Screnar, David CHIEF FINANCIAL OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CWM, LLC CHIEF FINANCIAL OFFICER direct 2018-03-01
CARSON GROUP INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2018-05-01
CARSON, RONALD, LLOYD PRINCIPAL CARSON HOLDINGS GROUP LLC. 12/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC OWNER indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC PRINCIPAL indirect 1994-12-01
CWM, LLC CHIEF EXECUTIVE OFFICER direct 2010-11-01
CWM, LLC BOARD MEMBER/CHIEF EXECUTIVE OFFICER direct 2010-11-01

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