CX INSTITUTIONAL

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CX Institutional is based out of Auburn. CX Institutional is a large advisory firm with 1225 clients and discretionary assets under management (AUM) of $581,057,388 (Form ADV from 2019-05-16). Their last reported 13F filing for Q3 2019 included $618,736,000 in managed 13F securities and a top 10 holdings concentration of 26.87%. CX Institutional's largest holding is Invesco S&P 500 Low Volatility ETF with shares held of 496,900. Whalewisdom has at least 7 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $618.736 Million
  • Prior Market Value $630.078 Million
  • New Purchases59 stocks
  • Additional Purchases344 stocks
  • Sold out of212 stocks
  • Reduced holdings in299 stocks
  • Top 10 Holdings % 26.87 %
  • Turnover % [1]:34.39%
  • Turnover Alt % [2]: 19.09 %
  • Time Held Top20:3.00 quarters
  • Time Held Top10:2.00 quarters
  • Time Held All:3.18 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 2019-08-14

Performance for Q2 2019: -0.58%
Performance Last 4 Quarters: 0.54%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CX INSTITUTIONAL, LLC
112 EAST 7TH STREET
AUBURN IN    46706
Country: United States

Business Phone: 260-927-1830
Fax: 260-927-1865
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 32
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 1,681,480
Total Number of Clients: 1225
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CX INSTITUTIONAL, LLC

ownership team - last updated 2019-05-16
Name Title Start Date Direct/Indirect % Ownership
KEHOE, THOMAS, DENNIS MANAGING DIRECTOR, WEALTH PARTNER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
KNOWLTON, JOHN, THOMAS DIRECTOR CORPORATE DEVELOPMENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
HEFTY, STACY, ELAINE PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01
HEFTY, DAVID, WAYNE CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
LOCKWOOD, DOUGLAS, EDWARD BRANCH OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2008-11-01
HEFTY WEALTH PARTNERS, INC. BRANCH PRESIDENT direct 2013-01-01
BYZYKA, EDISON CHIEF INVESTMENT OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF INVESTMENT OFFICER direct 2017-01-01
LOCKWOOD, ANGELA, MARIE CHIEF OPERATIONS OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF OPERATIONS OFFICER direct 2017-01-01
HEFTY WEALTH PARTNERS MANAGING MEMBER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MANAGING MEMBER direct 2018-04-01
OAK POINT FINANCIAL GROUP MEMBER 04/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-04-01
CPF TEXAS MEMBER 10/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-10-01
LIPPER, CHRISTOPHER, JOEL MANAGING DIRECTOR/WEALTH DIRECTOR 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VESTPRO FINANCIAL PARTNERS, INC. DBA THE CENTER FOR PERSONAL FIN PRESIDENT/CIO direct 2007-10-01
BURSE, JUSTIN, MALCOLM CHIEF COMPLIANCE OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-12-01
KNOWLTON, JOHN, THOMAS PRESIDENT OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
KEHOE, THOMAS, DENNIS DIRECTOR OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-03-01
STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-04-01
HEFTY, DAVID, WAYNE TRUSTEE DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
HEFTY, STACY, ELAINE TRUSTEE STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01

CX INSTITUTIONAL, LLC

ownership team - last updated 2019-01-28
Name Title Start Date Direct/Indirect % Ownership
LOCKWOOD, DOUGLAS, EDWARD BRANCH OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2008-11-01
HEFTY WEALTH PARTNERS, INC. BRANCH PRESIDENT direct 2013-01-01
KEHOE, THOMAS, DENNIS MANAGING DIRECTOR, WEALTH PARTNER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
KNOWLTON, JOHN, THOMAS DIRECTOR CORPORATE DEVELOPMENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
HEFTY, STACY, ELAINE PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01
HEFTY, DAVID, WAYNE CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
BYZYKA, EDISON CHIEF INVESTMENT OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF INVESTMENT OFFICER direct 2017-01-01
LOCKWOOD, ANGELA, MARIE CHIEF OPERATIONS OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF OPERATIONS OFFICER direct 2017-01-01
HEFTY WEALTH PARTNERS MANAGING MEMBER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MANAGING MEMBER direct 2018-04-01
OAK POINT FINANCIAL GROUP MEMBER 04/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-04-01
LIPPER, CHRISTOPHER, JOEL MANAGING DIRECTOR/WEALTH DIRECTOR 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VESTPRO FINANCIAL PARTNERS, INC. DBA THE CENTER FOR PERSONAL FIN PRESIDENT/CIO direct 2007-10-01
BURSE, JUSTIN, MALCOLM CHIEF COMPLIANCE OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-12-01
CPF TEXAS MEMBER 10/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-10-01
KNOWLTON, JOHN, THOMAS PRESIDENT OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
KEHOE, THOMAS, DENNIS DIRECTOR OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-03-01
STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-04-01
HEFTY, DAVID, WAYNE TRUSTEE DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
HEFTY, STACY, ELAINE TRUSTEE STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01

CX INSTITUTIONAL, LLC

ownership team - last updated 2018-11-15
Name Title Start Date Direct/Indirect % Ownership
KEHOE, THOMAS, DENNIS MANAGING DIRECTOR, WEALTH PARTNER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
KNOWLTON, JOHN, THOMAS DIRECTOR CORPORATE DEVELOPMENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
HEFTY, STACY, ELAINE PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01
HEFTY, DAVID, WAYNE CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
LOCKWOOD, DOUGLAS, EDWARD BRANCH OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2008-11-01
HEFTY WEALTH PARTNERS, INC. BRANCH PRESIDENT direct 2013-01-01
BYZYKA, EDISON CHIEF INVESTMENT OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF INVESTMENT OFFICER direct 2017-01-01
LOCKWOOD, ANGELA, MARIE CHIEF OPERATIONS OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF OPERATIONS OFFICER direct 2017-01-01
THOMPSON, CHRISTINA, ANN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2017-10-01
HEFTY WEALTH PARTNERS MANAGING MEMBER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MANAGING MEMBER direct 2018-04-01
OAK POINT FINANCIAL GROUP MEMBER 04/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-04-01
LIPPER, CHRISTOPHER, JOEL MANAGING DIRECTOR/WEALTH DIRECTOR 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
VESTPRO FINANCIAL PARTNERS, INC. DBA THE CENTER FOR PERSONAL FIN PRESIDENT/CIO direct 2007-10-01
KNOWLTON, JOHN, THOMAS PRESIDENT OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
KEHOE, THOMAS, DENNIS DIRECTOR OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-03-01
STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-04-01
HEFTY, DAVID, WAYNE TRUSTEE DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
HEFTY, STACY, ELAINE TRUSTEE STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01

CX INSTITUTIONAL, LLC

ownership team - last updated 2018-04-09
Name Title Start Date Direct/Indirect % Ownership
KEHOE, THOMAS, DENNIS MANAGING DIRECTOR, WEALTH PARTNER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
KNOWLTON, JOHN, THOMAS DIRECTOR CORPORATE DEVELOPMENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
HEFTY, STACY, ELAINE PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01
HEFTY, DAVID, WAYNE CHIEF EXECUTIVE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
LOCKWOOD, DOUGLAS, EDWARD BRANCH OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2008-11-01
HEFTY WEALTH PARTNERS, INC. BRANCH PRESIDENT direct 2013-01-01
BYZYKA, EDISON CHIEF INVESTMENT OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF INVESTMENT OFFICER direct 2017-01-01
LOCKWOOD, ANGELA, MARIE CHIEF OPERATIONS OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF OPERATIONS OFFICER direct 2017-01-01
MARTINEZ, CHRISTINA, ANN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2017-10-01
HEFTY WEALTH PARTNERS MANAGING MEMBER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MANAGING MEMBER direct 2018-04-01
OAK POINT FINANCIAL GROUP MEMBER 04/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER direct 2018-04-01
KNOWLTON, JOHN, THOMAS PRESIDENT OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC PRESIDENT / CHIEF COMPLIANCE OFFICER direct 2016-12-01
KEHOE, THOMAS, DENNIS DIRECTOR OAK POINT FINANCIAL GROUP 02/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OAK POINT FINANCIAL GROUP, INC. MEMBER direct 2010-09-01
OAK POINT WEALTH MANAGEMENT, LLC MEMBER direct 2016-12-01
DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 03/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-03-01
STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 MEMBER HEFTY WEALTH PARTNERS 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CX INSTITUTIONAL, LLC MEMBER indirect 2018-04-01
HEFTY, DAVID, WAYNE TRUSTEE DAVID W. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2006-12-01
HEFTY WEALTH PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
HEFTY, STACY, ELAINE TRUSTEE STACY E. HEFTY LIVING TRUST UTA DATED DECEMBER 6, 2011 12/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CORNERSTONE WEALTH MANAGEMENT, INC. PRESIDENT, VICE PRESIDENT, TREASURER, AND SECRETARY direct 2006-12-01

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